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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-12-31 2015-12-31 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 16 136 152 13 156 169 -3 20 17 89.47 92.31 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 52 55 3 49 52 0 -3 -3 94.55 94.23
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 52 54 4 48 52 2 -4 -2 96.30 92.31 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 6 38 44 4 43 47 -2 5 3 86.36 91.49
5 Manulife Investment Management (Hong Kong) Limited 4 26 30 4 35 39 0 9 9 86.67 89.74
6 Morgan Stanley Asia Limited 6 21 27 6 31 37 0 10 10 77.78 83.78 2006-04-07
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 22 26 3 25 28 -1 3 2 84.62 89.29
8 Standard Chartered Securities (Hong Kong) Limited 4 35 39 3 24 27 -1 -11 -12 89.74 88.89 2012-12-17
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 4 17 21 0 1 1 80.00 80.95
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 14 19 3 15 18 -2 1 -1 73.68 83.33
12 HSBC Global Asset Management (Hong Kong) Limited 5 14 19 3 15 18 -2 1 -1 73.68 83.33
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 3 11 14 -1 0 -1 73.33 78.57 2016-08-31
14 EMPEROR FUTURES LIMITED 4 6 10 4 10 14 0 4 4 60.00 71.43
15 NATIXIS ASIA LIMITED 3 8 11 3 11 14 0 3 3 72.73 78.57 2008-08-05
16 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
17 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
18 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 11 13 4 9 13 2 -2 0 84.62 69.23
19 Guosen Securities (HK) Brokerage Company, Limited 3 10 13 2 10 12 -1 0 -1 76.92 83.33 2011-03-14
20 Yuanta Securities (Hong Kong) Company Limited 2 6 8 3 9 12 1 3 4 75.00 75.00 2012-06-14
21 YUE XIU FUTURES COMPANY LIMITED 2 5 7 3 9 12 1 4 5 71.43 75.00 2024-07-30
22 AllianceBernstein Hong Kong Limited 3 4 7 3 8 11 0 4 4 57.14 72.73
23 CHIEF COMMODITIES LIMITED 3 6 9 3 8 11 0 2 2 66.67 72.73 2006-05-17 2025-08-31
24 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 9 12 2 9 11 -1 0 -1 75.00 81.82 2008-07-03
25 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 2 9 11 -1 0 -1 75.00 81.82
26 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 9 11 0 3 3 75.00 81.82
27 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
28 Oasis Management (Hong Kong) 2 6 8 2 7 9 0 1 1 75.00 77.78 2004-09-14
29 OCP Asia (Hong Kong) Limited 3 6 9 3 6 9 0 0 0 66.67 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 3 7 4 4 8 0 1 1 42.86 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 GOLDMAN SACHS (ASIA) L.L.C. 3 7 10 3 5 8 0 -2 -2 70.00 62.50
34 GUODU FUTURES (HONG KONG) LIMITED 1 2 3 2 6 8 1 4 5 66.67 75.00 2012-12-04
35 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
37 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 4 3 7 2 1 3 50.00 42.86 2014-06-25
38 FULBRIGHT FUTURES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2012-03-20
39 GENERALI INVESTMENTS ASIA LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2007-12-28 2018-09-26
40 HANG SENG FUTURES LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2017-11-17
41 ICBC Asset Management (Global) Company Limited 2 7 9 2 5 7 0 -2 -2 77.78 71.43
42 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
43 PFP Capital Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14
44 SG SECURITIES (HK) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2010-11-16
45 BOCI SECURITIES LIMITED 5 2 7 5 1 6 0 -1 -1 28.57 16.67 2005-10-06
46 BOCOM International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-09-10
47 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
48 HGNH International Futures Co., Limited 4 1 5 4 2 6 0 1 1 20.00 33.33 2010-11-01
49 MCG Management Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2014-02-12
50 Ping An Securities (Hong Kong) Futures Company Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-03-30
51 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
52 Ark Futures (Hong Kong) Limited 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2006-02-07
53 CES Capital International (Hong Kong) Co., Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-05-29 2023-02-23
54 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
55 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-04-26
56 China Securities (International) Brokerage Company Limited 2 9 11 2 3 5 0 -6 -6 81.82 60.00 2014-10-28
57 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
58 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2016-10-10
59 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
60 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 2 3 5 -2 1 -1 33.33 60.00
61 SDHG International Asset Management Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2008-12-02
62 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2015-06-19
63 Superactive Financial Group Company Limited 0 0 0 2 3 5 2 3 5 - 60.00 2015-06-12
64 WINTON CAPITAL ASIA LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2014-09-18
65 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
66 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
67 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
68 Central Universe Futures Limited 3 1 4 2 2 4 -1 1 0 25.00 50.00 2013-10-28 2021-09-15
69 Changjiang Futures (HK) Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-13 2024-10-25
70 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
71 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
72 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
73 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
74 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
75 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
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 3 1 4 0 0 0 25.00 25.00 2013-05-16 2017-02-12
78 Soochow Securities International Futures Limited 1 4 5 2 2 4 1 -2 -1 80.00 50.00 2012-08-27
79 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 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 BREVAN HOWARD (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2008-03-12 2018-05-11
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 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
87 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 2 1 3 0 -3 -3 66.67 33.33
88 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2008-03-05
90 HSBC Global Asset Management Holdings (Bahamas) Limited 4 1 5 2 1 3 -2 0 -2 20.00 33.33 2020-06-02
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 1 3 3 0 3 1 -1 0 33.33 0.00 2011-03-25
94 TFI Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 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 2 1 3 -1 1 0 0.00 33.33 2013-04-16
100 ZHONGRONG PT SECURITIES LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2010-07-30
101 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
102 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
103 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
104 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 2 0 2 0 -4 -4 66.67 0.00 2004-08-13
105 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
106 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2013-06-03
107 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
108 CLC FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-10-29 2021-04-12
109 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
110 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
111 GRT Capital Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
112 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
113 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
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 0 2 2 0 2 0 0 0 0.00 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 2 0 2 2 0 2 0 0 0 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 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-02-24
128 YUE XIU SECURITIES COMPANY LIMITED 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2013-12-02
129 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-05-08
130 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2016-04-19
131 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
132 AXA Investment Managers Asia Limited 5 2 7 0 0 0 -5 -2 -7 28.57 - 2015-06-15
133 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 5 2 7 0 0 0 -5 -2 -7 28.57 - 2015-06-15
134 BLUE POOL CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-10 2015-12-01
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 3 7 0 0 0 -4 -3 -7 42.86 - 2011-12-09 2016-01-27
137 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-11-09 2015-07-31
138 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-10-30 2015-04-22
139 WHARTON INVESTMENT ADVISORS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2015-02-09
Average 2.71 5.59 8.30 2.58 6.08 8.67 67.36 70.19

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