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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-10-31 2015-10-31 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 16 137 153 12 150 162 -4 13 9 89.54 92.59 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 51 53 4 48 52 2 -3 -1 96.23 92.31 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 50 53 3 46 49 0 -4 -4 94.34 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 6 40 46 4 39 43 -2 -1 -3 86.96 90.70
5 Manulife Investment Management (Hong Kong) Limited 3 27 30 4 32 36 1 5 6 90.00 88.89
6 Morgan Stanley Asia Limited 5 23 28 6 30 36 1 7 8 82.14 83.33 2006-04-07
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 22 26 3 23 26 -1 1 0 84.62 88.46
8 Standard Chartered Securities (Hong Kong) Limited 4 35 39 4 21 25 0 -14 -14 89.74 84.00 2012-12-17
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 13 18 3 15 18 -2 2 0 72.22 83.33
12 HSBC Global Asset Management (Hong Kong) Limited 6 11 17 3 14 17 -3 3 0 64.71 82.35
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
14 NATIXIS ASIA LIMITED 4 8 12 2 13 15 -2 5 3 66.67 86.67 2008-08-05
15 EMPEROR FUTURES LIMITED 4 6 10 4 10 14 0 4 4 60.00 71.43
16 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
17 Guosen Securities (HK) Brokerage Company, Limited 3 9 12 3 9 12 0 0 0 75.00 75.00 2011-03-14
18 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 8 11 2 10 12 -1 2 1 72.73 83.33 2008-07-03
19 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 8 11 2 10 12 -1 2 1 72.73 83.33
20 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 6 12 0 2 2 40.00 50.00
21 Yuanta Securities (Hong Kong) Company Limited 2 6 8 2 10 12 0 4 4 75.00 83.33 2012-06-14
22 CHIEF COMMODITIES LIMITED 3 7 10 3 8 11 0 1 1 70.00 72.73 2006-05-17 2025-08-31
23 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 12 14 4 7 11 2 -5 -3 85.71 63.64
24 AllianceBernstein Hong Kong Limited 3 4 7 3 6 9 0 2 2 57.14 66.67
25 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
26 GOLDMAN SACHS (ASIA) L.L.C. 3 7 10 3 6 9 0 -1 -1 70.00 66.67
27 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78
28 Oasis Management (Hong Kong) 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-14
29 OCP Asia (Hong Kong) Limited 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-09-03 2022-06-13
30 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 5 8 3 5 8 - 62.50 2015-06-01
31 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 4 4 8 0 0 0 50.00 50.00 2004-01-08 2020-02-04
32 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 2 6 8 0 3 3 60.00 75.00 2024-03-21
33 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 6 8 0 4 4 50.00 75.00 2012-12-04
34 YUE XIU FUTURES COMPANY LIMITED 2 6 8 2 6 8 0 0 0 75.00 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 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 5 7 -1 0 -1 62.50 71.43
39 HANG SENG FUTURES LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2017-11-17
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 China Securities (International) Brokerage Company Limited 2 0 2 2 4 6 0 4 4 0.00 66.67 2014-10-28
44 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2016-10-10
45 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
46 ICBC Asset Management (Global) Company Limited 2 7 9 2 4 6 0 -3 -3 77.78 66.67
47 MCG Management Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2014-02-12
48 Ping An Securities (Hong Kong) Futures Company Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-03-30
49 SG SECURITIES (HK) LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2010-11-16
50 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
51 Ark Futures (Hong Kong) Limited 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2006-02-07
52 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
53 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-04-26
54 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
55 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-12-28 2018-09-26
56 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
57 HGNH International Futures Co., Limited 4 1 5 4 1 5 0 0 0 20.00 20.00 2010-11-01
58 SDHG International Asset Management Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-12-02
59 Superactive Financial Group Company Limited 0 0 0 2 3 5 2 3 5 - 60.00 2015-06-12
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 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2008-03-12 2018-05-11
63 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
64 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
65 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2014-06-25
66 Citigroup Global Markets Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-01-09
67 CLSA FUTURES LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2016-06-02
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 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2015-06-19
76 Sino-Rich Securities & Futures Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2012-06-21
77 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2013-05-16 2017-02-12
78 Soochow Securities International Futures Limited 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2012-08-27
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 2 4 2 2 4 0 0 0 50.00 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 Changjiang Futures (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-13 2024-10-25
85 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
86 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
87 CLC FUTURES LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-10-29 2021-04-12
88 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 2 1 3 0 -3 -3 66.67 33.33
89 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 HSBC Global Asset Management Holdings (Bahamas) Limited 5 1 6 2 1 3 -3 0 -3 16.67 33.33 2020-06-02
92 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
93 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
94 LT Finance Management Limited 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-08-26 2019-09-25
95 MIB FUTURES (HONG KONG) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2011-03-25
96 TFI Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-03-10
97 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
98 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
99 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
101 ZHONGRONG PT SECURITIES LIMITED 4 0 4 3 0 3 -1 0 -1 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 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
109 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
110 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
111 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
112 GRT Capital Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
113 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
114 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
115 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
116 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
118 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
119 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
120 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
122 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
123 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
124 SHACOM FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
125 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
126 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 YF ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-04-16
128 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2012-02-24
129 YUE XIU SECURITIES COMPANY LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2013-12-02
130 Zhonghao International Investment Consulting Co., Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-05-08
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 5 2 7 0 0 0 -5 -2 -7 28.57 - 2015-06-15
134 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 5 2 7 0 0 0 -5 -2 -7 28.57 - 2015-06-15
135 CNCB (Hong Kong) Capital Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2015-08-20
136 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
137 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-06-22
138 METRO CAPITAL FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2014-11-26
139 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-11-09 2015-07-31
140 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-10-30 2015-04-22
141 WHARTON INVESTMENT ADVISORS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2015-02-09
Average 2.75 5.43 8.18 2.55 5.79 8.34 66.40 69.41

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