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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-03-31 2016-03-31 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 16 139 155 15 154 169 -1 15 14 89.68 91.12 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 50 53 4 48 52 1 -2 -1 94.34 92.31 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 52 55 3 46 49 0 -6 -6 94.55 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 5 39 44 5 37 42 0 -2 -2 88.64 88.10
5 Manulife Investment Management (Hong Kong) Limited 4 27 31 4 35 39 0 8 8 87.10 89.74
6 Standard Chartered Securities (Hong Kong) Limited 4 36 40 4 31 35 0 -5 -5 90.00 88.57 2012-12-17
7 Morgan Stanley Asia Limited 6 23 29 6 28 34 0 5 5 79.31 82.35 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 24 28 3 22 25 -1 -2 -3 85.71 88.00
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 5 16 21 1 0 1 80.00 76.19
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 18 22 3 17 20 -1 -1 -2 81.82 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 4 13 17 3 15 18 -1 2 1 76.47 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 13 15 4 10 14 2 -3 -1 86.67 71.43 2008-08-05
16 YUE XIU FUTURES COMPANY LIMITED 2 4 6 3 11 14 1 7 8 66.67 78.57 2024-07-30
17 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
18 Guosen Securities (HK) Brokerage Company, Limited 3 10 13 2 11 13 -1 1 0 76.92 84.62 2011-03-14
19 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 11 13 0 4 4 77.78 84.62
20 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
21 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 9 12 4 9 13 1 0 1 75.00 69.23
22 Yuanta Securities (Hong Kong) Company Limited 2 9 11 4 9 13 2 0 2 81.82 69.23 2012-06-14
23 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33 2008-07-03
24 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33
25 CHIEF COMMODITIES LIMITED 3 7 10 3 8 11 0 1 1 70.00 72.73 2006-05-17 2025-08-31
26 Oasis Management (Hong Kong) 2 6 8 2 9 11 0 3 3 75.00 81.82 2004-09-14
27 AllianceBernstein Hong Kong Limited 3 4 7 4 6 10 1 2 3 57.14 60.00
28 BOCI COMMODITIES & FUTURES LIMITED 4 6 10 3 7 10 -1 1 0 60.00 70.00 2004-11-17
29 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 6 9 3 6 9 - 66.67 2015-06-01
30 OCP Asia (Hong Kong) Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2004-09-03 2022-06-13
31 FULBRIGHT FUTURES LIMITED 2 2 4 2 6 8 0 4 4 50.00 75.00 2012-03-20
32 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2024-03-21
33 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 5 8 0 -1 -1 66.67 62.50
34 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 6 8 0 5 5 33.33 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 PFP Capital Limited 3 5 8 3 5 8 0 0 0 62.50 62.50
38 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
39 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 3 4 7 -1 1 0 42.86 57.14 2004-01-08 2020-02-04
40 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14
41 HANG SENG FUTURES LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2017-11-17
42 HGNH International Futures Co., Limited 4 1 5 4 3 7 0 2 2 20.00 42.86 2010-11-01
43 SG SECURITIES (HK) LIMITED 2 2 4 2 5 7 0 3 3 50.00 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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2011-04-26
47 China Securities (International) Brokerage Company Limited 2 8 10 2 4 6 0 -4 -4 80.00 66.67 2014-10-28
48 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 4 2 6 2 0 2 50.00 33.33 2014-06-25
49 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67
50 GENERALI INVESTMENTS ASIA LIMITED 2 5 7 4 2 6 2 -3 -1 71.43 33.33 2007-12-28 2018-09-26
51 MCG Management Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-02-12
52 Ping An Securities (Hong Kong) Futures Company Limited 1 2 3 2 4 6 1 2 3 66.67 66.67 2012-03-30
53 Superactive Financial Group Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2015-06-12
54 Well Link International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-10-04
55 Ark Futures (Hong Kong) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2006-02-07
56 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
57 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
58 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
59 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2016-10-10
60 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
61 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00
62 ICBC Asset Management (Global) Company Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
63 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2015-02-26
64 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2015-06-19
65 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2013-05-16 2017-02-12
66 TRADING CENTRAL ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-03-08
67 WINTON CAPITAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2014-09-18
68 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
69 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
70 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
71 Changjiang Futures (HK) Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-13 2024-10-25
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 SDHG International Asset Management Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2008-12-02
75 Sino-Rich Securities & Futures Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2012-06-21
76 Soochow Securities International Futures Limited 1 4 5 2 2 4 1 -2 -1 80.00 50.00 2012-08-27
77 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
78 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-03-09
79 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
80 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
81 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2008-03-12 2018-05-11
82 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
83 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
84 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
85 Citigroup Global Markets Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-01-09
86 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
87 HSBC Global Asset Management Holdings (Bahamas) Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2020-06-02
88 Imperium International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
89 LT Finance Management Limited 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-08-26 2019-09-25
90 MIB FUTURES (HONG KONG) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2011-03-25
91 MIZUHO SECURITIES ASIA LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-03-01 2016-05-05
92 TFI Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-03-10
93 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
94 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
95 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
96 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 Zhonghao International Investment Consulting Co., Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2013-05-08
98 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
99 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
100 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
101 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
102 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
103 CENTRAL WEALTH FUTURES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2016-02-25 2023-04-06
104 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
105 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
106 CLC FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-10-29 2021-04-12
107 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 1 1 2 -1 -3 -4 66.67 50.00
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 GRT Capital Management Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-11 2017-01-26
111 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-03-05
112 HZ CAPITAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 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 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
116 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
117 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
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 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 2 0 2 0 -1 -1 33.33 0.00 2012-02-24
129 YUE XIU SECURITIES COMPANY LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2013-12-02
130 BALLINGAL INVESTMENT ADVISORS LIMITED 1 4 5 1 0 1 0 -4 -4 80.00 0.00 2004-08-13
131 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 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 3 1 4 0 0 0 -3 -1 -4 25.00 - 2015-06-15
134 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2015-06-15
135 BLUE POOL CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-10 2015-12-01
136 CLSA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-06-02
137 CNCB (Hong Kong) Capital Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2015-08-20
138 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
139 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-11-09 2015-07-31
140 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-10-30 2015-04-22
Average 2.65 5.60 8.25 2.62 6.08 8.70 67.86 69.91

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