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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2015-01-31 2016-01-31 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 16 140 156 14 153 167 -2 13 11 89.74 91.62 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 3 51 54 4 48 52 1 -3 -2 94.44 92.31 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 6 39 45 5 42 47 -1 3 2 86.67 89.36
5 Manulife Investment Management (Hong Kong) Limited 4 27 31 4 35 39 0 8 8 87.10 89.74
6 Morgan Stanley Asia Limited 6 21 27 6 28 34 0 7 7 77.78 82.35 2006-04-07
7 Standard Chartered Securities (Hong Kong) Limited 4 35 39 3 25 28 -1 -10 -11 89.74 89.29 2012-12-17
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 22 26 3 25 28 -1 3 2 84.62 89.29
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 5 16 21 1 -1 0 80.95 76.19
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 14 19 3 17 20 -2 3 1 73.68 85.00
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
12 HSBC Global Asset Management (Hong Kong) Limited 5 13 18 3 15 18 -2 2 0 72.22 83.33
13 EMPEROR FUTURES LIMITED 4 6 10 4 12 16 0 6 6 60.00 75.00
14 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 3 11 14 -1 0 -1 73.33 78.57 2016-08-31
15 NATIXIS ASIA LIMITED 2 11 13 4 10 14 2 -1 1 84.62 71.43 2008-08-05
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 10 13 2 11 13 -1 1 0 76.92 84.62 2011-03-14
18 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
19 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 9 11 4 9 13 2 0 2 81.82 69.23
20 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 10 12 0 4 4 75.00 83.33
21 Yuanta Securities (Hong Kong) Company Limited 2 6 8 3 9 12 1 3 4 75.00 75.00 2012-06-14
22 YUE XIU FUTURES COMPANY LIMITED 2 5 7 3 9 12 1 4 5 71.43 75.00 2024-07-30
23 AllianceBernstein Hong Kong Limited 3 4 7 3 8 11 0 4 4 57.14 72.73
24 CHIEF COMMODITIES LIMITED 3 5 8 3 8 11 0 3 3 62.50 72.73 2006-05-17 2025-08-31
25 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 9 12 2 9 11 -1 0 -1 75.00 81.82 2008-07-03
26 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 2 9 11 -1 0 -1 75.00 81.82
27 BOCI COMMODITIES & FUTURES LIMITED 4 6 10 3 6 9 -1 0 -1 60.00 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 OLD PEAK LIMITED (HK) 3 3 6 3 5 8 0 2 2 50.00 62.50 2005-08-26 2023-06-20
37 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
38 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 4 3 7 2 1 3 50.00 42.86 2014-06-25
39 FULBRIGHT FUTURES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2012-03-20
40 GENERALI INVESTMENTS ASIA LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14 2007-12-28 2018-09-26
41 HANG SENG FUTURES LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2017-11-17
42 PFP Capital Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14
43 SG SECURITIES (HK) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2010-11-16
44 BOCI SECURITIES LIMITED 5 2 7 5 1 6 0 -1 -1 28.57 16.67 2005-10-06
45 BOCOM International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-09-10
46 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
47 HGNH International Futures Co., Limited 4 1 5 4 2 6 0 1 1 20.00 33.33 2010-11-01
48 MCG Management Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2014-02-12
49 Ping An Securities (Hong Kong) Futures Company Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-03-30
50 Superactive Financial Group Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2015-06-12
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 2 5 7 3 2 5 1 -3 -2 71.43 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 10 12 2 3 5 0 -7 -7 83.33 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 ICBC Asset Management (Global) Company Limited 2 7 9 2 3 5 0 -4 -4 77.78 60.00
62 SDHG International Asset Management Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2008-12-02
63 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2015-06-19
64 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2013-05-16 2017-02-12
65 WINTON CAPITAL ASIA LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2014-09-18
66 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
67 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
68 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
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 Soochow Securities International Futures Limited 1 4 5 2 2 4 1 -2 -1 80.00 50.00 2012-08-27
78 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
79 Well Link International Securities Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-10-04
80 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
81 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
82 BREVAN HOWARD (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2008-03-12 2018-05-11
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 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 GRT Capital Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-12-11 2017-01-26
90 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2008-03-05
91 HSBC Global Asset Management Holdings (Bahamas) Limited 4 1 5 2 1 3 -2 0 -2 20.00 33.33 2020-06-02
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 1 3 2 1 3 0 0 0 33.33 33.33
99 ZHONGRONG PT SECURITIES LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2010-07-30
100 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
101 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
102 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
103 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 2 0 2 0 -4 -4 66.67 0.00 2004-08-13
104 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
105 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
106 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
107 CLC FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-10-29 2021-04-12
108 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
109 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
110 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
111 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
112 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
113 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
114 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
115 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
116 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
117 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
118 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
119 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
120 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
121 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
122 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
123 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
125 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
126 YF ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-04-16
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 4 2 6 0 0 0 -4 -2 -6 33.33 - 2015-06-15
133 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 2 6 0 0 0 -4 -2 -6 33.33 - 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 7 8 0 0 0 -1 -7 -8 87.50 - 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 1 0 1 0 0 0 -1 0 -1 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 2.70 5.66 8.36 2.62 6.05 8.68 67.68 69.77

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top