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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-09-30 2015-09-30 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 17 133 150 12 150 162 -5 17 12 88.67 92.59 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 51 53 4 51 55 2 0 2 96.23 92.73 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 50 53 3 47 50 0 -3 -3 94.34 94.00
4 JPMorgan Asset Management (Asia Pacific) Limited 5 41 46 4 38 42 -1 -3 -4 89.13 90.48
5 Standard Chartered Securities (Hong Kong) Limited 4 36 40 5 36 41 1 0 1 90.00 87.80 2012-12-17
6 Morgan Stanley Asia Limited 5 23 28 6 30 36 1 7 8 82.14 83.33 2006-04-07
7 Manulife Investment Management (Hong Kong) Limited 3 25 28 4 31 35 1 6 7 89.29 88.57
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 22 26 3 23 26 -1 1 0 84.62 88.46
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 14 19 6 13 19 1 -1 0 73.68 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 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 7 10 2 10 12 -1 3 2 70.00 83.33 2008-07-03
17 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 2 10 12 -1 3 2 70.00 83.33
18 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 6 12 0 2 2 40.00 50.00
19 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 12 14 4 8 12 2 -4 -2 85.71 66.67
20 CHIEF COMMODITIES LIMITED 3 6 9 3 8 11 0 2 2 66.67 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 Guosen Securities (HK) Brokerage Company, Limited 4 9 13 3 8 11 -1 -1 -2 69.23 72.73 2011-03-14
23 Yuanta Securities (Hong Kong) Company Limited 2 6 8 2 8 10 0 2 2 75.00 80.00 2012-06-14
24 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
25 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 6 9 -1 -1 -2 63.64 66.67
26 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78
27 Oasis Management (Hong Kong) 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-14
28 OCP Asia (Hong Kong) Limited 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-09-03 2022-06-13
29 AllianceBernstein Hong Kong Limited 3 4 7 3 5 8 0 1 1 57.14 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 HANG SENG FUTURES LIMITED 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2017-11-17
32 YUE XIU FUTURES COMPANY LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2024-07-30
33 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
34 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
35 BOCOM International Securities Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2007-09-10
36 China Securities (International) Brokerage Company Limited 0 0 0 2 5 7 2 5 7 - 71.43 2014-10-28
37 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-01-08 2020-02-04
38 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
39 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 5 7 -1 0 -1 62.50 71.43
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 5 8 3 4 7 0 -1 -1 62.50 57.14
42 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
43 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2024-03-21
44 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
45 ICBC Asset Management (Global) Company Limited 2 7 9 2 4 6 0 -3 -3 77.78 66.67
46 MCG Management Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2014-02-12
47 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
48 Ark Futures (Hong Kong) Limited 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2006-02-07
49 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2008-03-12 2018-05-11
50 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
51 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-04-26
52 CLSA FUTURES LIMITED 3 0 3 5 0 5 2 0 2 0.00 0.00 2016-06-02
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 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-12-28 2018-09-26
55 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
56 HGNH International Futures Co., Limited 4 1 5 4 1 5 0 0 0 20.00 20.00 2010-11-01
57 Ping An Securities (Hong Kong) Futures Company Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-03-30
58 SDHG International Asset Management Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-12-02
59 SG SECURITIES (HK) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-11-16
60 WINTON CAPITAL ASIA LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2014-09-18
61 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
62 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
63 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
64 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2014-06-25
65 Citigroup Global Markets Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-01-09
66 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00
67 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
68 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
71 GUOYUAN FUTURES (HONG KONG) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2008-03-05
72 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 5 2 7 2 2 4 -3 0 -3 28.57 50.00
73 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
74 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
75 Sino-Rich Securities & Futures Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2012-06-21
76 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2013-05-16 2017-02-12
77 Soochow Securities International Futures Limited 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2012-08-27
78 Superactive Financial Group Company Limited 0 0 0 2 2 4 2 2 4 - 50.00 2015-06-12
79 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
80 Well Link International Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-10-04
81 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
82 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
83 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
84 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
85 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
86 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
89 HSBC Global Asset Management Holdings (Bahamas) Limited 5 1 6 2 1 3 -3 0 -3 16.67 33.33 2020-06-02
90 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
91 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
92 LT Finance Management Limited 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-08-26 2019-09-25
93 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
94 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2015-06-19
95 TFI Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-03-10
96 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
98 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
99 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
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 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
103 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
104 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
105 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 2 0 2 0 -4 -4 66.67 0.00 2004-08-13
106 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
107 BLUE POOL CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-11-10 2015-12-01
108 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
109 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
110 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
111 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
112 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
113 GRT Capital Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
114 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
115 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
116 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
117 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
118 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
119 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
120 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
121 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
122 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
123 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
124 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
125 SHACOM FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
126 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
127 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 YF ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-04-16
129 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2012-02-24
130 YUE XIU SECURITIES COMPANY LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2013-12-02
131 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2016-04-19
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 4 2 6 0 0 0 -4 -2 -6 33.33 - 2015-06-15
134 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 2 6 0 0 0 -4 -2 -6 33.33 - 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 1 1 2 0 0 0 -1 -1 -2 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 1 0 1 0 0 0 -1 0 -1 0.00 - 2015-02-09
Average 2.76 5.41 8.17 2.56 5.83 8.39 66.18 69.52

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