SFC licensees per firm: Advising on futures contracts

In an activity at a firm, a licensee is either a Responsible Officer (RO) or a Representative (Rep). When Activity is set to "All", a person who holds both roles (in different activities) is treated as an RO. "Reps v total" is a measure of how bottom-heavy a firm is, because the ROs supervise the Reps. We query the SFC database and update the tables regularly. Licensees are not necessarily full-time employees and may be licensed to more than 1 firm. We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions. So there's no level playing field between banks and SFC-licensed firms.

Click on the last column to see the history of a firm.

Start date: End date:
Activity type:

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2014-08-31 2015-08-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 J.P. MORGAN BROKING (HONG KONG) LIMITED 16 135 151 12 146 158 -4 11 7 89.40 92.41 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 53 56 4 50 54 1 -3 -2 94.64 92.59 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 52 55 3 49 52 0 -3 -3 94.55 94.23
4 JPMorgan Asset Management (Asia Pacific) Limited 5 41 46 5 40 45 0 -1 -1 89.13 88.89
5 Standard Chartered Securities (Hong Kong) Limited 5 34 39 5 36 41 0 2 2 87.18 87.80 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 25 28 4 31 35 1 6 7 89.29 88.57
7 Morgan Stanley Asia Limited 5 23 28 6 27 33 1 4 5 82.14 81.82 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 22 27 3 24 27 -2 2 0 81.48 88.89
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 18 22 5 16 21 1 -2 -1 81.82 76.19
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 13 18 6 13 19 1 0 1 72.22 68.42
11 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 12 17 3 15 18 -2 3 1 70.59 83.33
12 HSBC Global Asset Management (Hong Kong) Limited 6 10 16 3 14 17 -3 4 1 62.50 82.35
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33 2016-08-31
14 NATIXIS ASIA LIMITED 4 7 11 2 13 15 -2 6 4 63.64 86.67 2008-08-05
15 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
16 Guosen Securities (HK) Brokerage Company, Limited 4 9 13 3 9 12 -1 0 -1 69.23 75.00 2011-03-14
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33 2008-07-03
18 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33
19 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 12 14 4 8 12 2 -4 -2 85.71 66.67
20 CHIEF COMMODITIES LIMITED 3 5 8 3 8 11 0 3 3 62.50 72.73 2006-05-17 2025-08-31
21 EMPEROR FUTURES LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64
22 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 4 10 0 0 0 40.00 40.00
23 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
24 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 6 9 -1 -1 -2 63.64 66.67
25 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78
26 Oasis Management (Hong Kong) 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-14
27 OCP Asia (Hong Kong) Limited 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-09-03 2022-06-13
28 Yuanta Securities (Hong Kong) Company Limited 2 6 8 2 7 9 0 1 1 75.00 77.78 2012-06-14
29 AllianceBernstein Hong Kong Limited 3 3 6 3 5 8 0 2 2 50.00 62.50
30 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 5 8 3 5 8 - 62.50 2015-06-01
31 China Securities (International) Brokerage Company Limited 0 0 0 2 6 8 2 6 8 - 75.00 2014-10-28
32 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
33 HANG SENG FUTURES LIMITED 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2017-11-17
34 YUE XIU FUTURES COMPANY LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2024-07-30
35 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
36 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
37 BOCOM International Securities Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2007-09-10
38 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2024-03-21
39 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
40 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
41 PFP Capital Limited 3 6 9 3 4 7 0 -2 -2 66.67 57.14
42 SDHG International Asset Management Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2008-12-02
43 CES Capital International (Hong Kong) Co., Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2009-05-29 2023-02-23
44 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 3 6 -1 -1 -2 50.00 50.00 2004-01-08 2020-02-04
45 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-12-28 2018-09-26
46 HAMON ASSET MANAGEMENT LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00
47 ICBC Asset Management (Global) Company Limited 2 7 9 2 4 6 0 -3 -3 77.78 66.67
48 TRADING CENTRAL ASIA LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2011-03-08
49 Ark Futures (Hong Kong) Limited 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2006-02-07
50 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2008-03-12 2018-05-11
51 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
52 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-04-26
53 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
54 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
55 HGNH International Futures Co., Limited 4 1 5 4 1 5 0 0 0 20.00 20.00 2010-11-01
56 MCG Management Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2014-02-12
57 SG SECURITIES (HK) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-11-16
58 WINTON CAPITAL ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2014-09-18
59 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
60 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
61 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
62 Citigroup Global Markets Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-01-09
63 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00
64 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
65 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
66 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
67 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
68 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 5 2 7 2 2 4 -3 0 -3 28.57 50.00
69 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
70 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
71 Soochow Securities International Futures Limited 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2012-08-27
72 Superactive Financial Group Company Limited 0 0 0 2 2 4 2 2 4 - 50.00 2015-06-12
73 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
74 Well Link International Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-10-04
75 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
76 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
77 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
78 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 1 2 3 -1 0 -1 50.00 66.67 2014-06-25
79 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
80 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
81 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
82 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
83 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
84 GUOYUAN FUTURES (HONG KONG) LIMITED 4 1 5 2 1 3 -2 0 -2 20.00 33.33 2008-03-05
85 HSBC Global Asset Management Holdings (Bahamas) Limited 5 1 6 2 1 3 -3 0 -3 16.67 33.33 2020-06-02
86 ICBC (Asia) Futures Company Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-23 2021-08-04
87 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
88 LT Finance Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-08-26 2019-09-25
89 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
90 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-03-30
91 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2015-06-19
92 Sino-Rich Securities & Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-06-21
93 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-05-16 2017-02-12
94 TFI Asset Management Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2014-03-10
95 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
96 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
97 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
98 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
99 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-04-16
100 Zhonghao International Investment Consulting Co., Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-05-08
101 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
102 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
103 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
104 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
105 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
106 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 1 1 2 -1 -3 -4 66.67 50.00 2004-08-13
107 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
108 BLUE POOL CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-11-10 2015-12-01
109 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
110 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
111 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
112 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
113 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 GRT Capital Management Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-11 2017-01-26
115 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
116 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
117 Imperium International Asset Management Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2008-12-02
118 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
119 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
120 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
121 MFG Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2010-05-24
122 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
124 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
125 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
126 SHACOM FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
127 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
128 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
129 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
130 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2012-02-24
131 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-02
132 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 5 8 0 0 0 -3 -5 -8 62.50 - 2007-01-12 2015-05-31
133 AXA Investment Managers Asia Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2015-06-15
134 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2015-06-15
135 CNCB (Hong Kong) Capital Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2015-08-20
136 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2011-10-28 2014-10-31
137 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
138 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-06-22
139 METRO CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2014-11-26
140 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-11-09 2015-07-31
141 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-10-30 2015-04-22
142 WHARTON INVESTMENT ADVISORS LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2015-02-09
Average 2.78 5.48 8.25 2.56 5.78 8.34 66.37 69.32

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