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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-04-30 2016-04-30 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 15 136 151 16 156 172 1 20 21 90.07 90.70 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 49 52 4 47 51 1 -2 -1 94.23 92.16 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 50 53 3 45 48 0 -5 -5 94.34 93.75
4 JPMorgan Asset Management (Asia Pacific) Limited 5 39 44 5 38 43 0 -1 -1 88.64 88.37
5 Manulife Investment Management (Hong Kong) Limited 4 28 32 4 36 40 0 8 8 87.50 90.00
6 Morgan Stanley Asia Limited 6 25 31 6 28 34 0 3 3 80.65 82.35 2006-04-07
7 Standard Chartered Securities (Hong Kong) Limited 5 35 40 2 26 28 -3 -9 -12 87.50 92.86 2012-12-17
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 25 29 3 21 24 -1 -4 -5 86.21 87.50
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 5 16 21 1 0 1 80.00 76.19
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
11 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 18 23 3 16 19 -2 -2 -4 78.26 84.21
12 HSBC Global Asset Management (Hong Kong) Limited 4 13 17 3 15 18 -1 2 1 76.47 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 Guosen Securities (HK) Brokerage Company, Limited 3 10 13 3 11 14 0 1 1 76.92 78.57 2011-03-14
16 NATIXIS ASIA LIMITED 2 13 15 4 10 14 2 -3 -1 86.67 71.43 2008-08-05
17 YUE XIU FUTURES COMPANY LIMITED 2 4 6 3 11 14 1 7 8 66.67 78.57 2024-07-30
18 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
19 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 9 12 0 -1 -1 76.92 75.00
20 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 7 10 2 10 12 -1 3 2 70.00 83.33 2008-07-03
21 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 2 10 12 -1 3 2 70.00 83.33
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 10 12 0 2 2 80.00 83.33
23 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
24 Yuanta Securities (Hong Kong) Company Limited 2 9 11 3 9 12 1 0 1 81.82 75.00 2012-06-14
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 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 7 10 3 7 10 - 70.00 2015-06-01
28 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2004-11-17
29 AllianceBernstein Hong Kong Limited 3 4 7 3 6 9 0 2 2 57.14 66.67
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 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2024-03-21
32 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 5 8 0 -1 -1 66.67 62.50
33 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00
34 OLD PEAK LIMITED (HK) 3 4 7 3 5 8 0 1 1 57.14 62.50 2005-08-26 2023-06-20
35 PFP Capital Limited 3 5 8 3 5 8 0 0 0 62.50 62.50
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
37 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2004-01-08 2020-02-04
38 FULBRIGHT FUTURES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2012-03-20
39 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2012-12-04
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 SG SECURITIES (HK) LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2010-11-16
43 BOCI SECURITIES LIMITED 5 2 7 5 1 6 0 -1 -1 28.57 16.67 2005-10-06
44 BOCOM International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-09-10
45 CES Capital International (Hong Kong) Co., Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2009-05-29 2023-02-23
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 MCG Management Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-02-12
51 Ping An Securities (Hong Kong) Futures Company Limited 1 2 3 2 4 6 1 2 3 66.67 66.67 2012-03-30
52 Superactive Financial Group Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2015-06-12
53 Well Link International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-10-04
54 Ark Futures (Hong Kong) Limited 2 3 5 3 2 5 1 -1 0 60.00 40.00 2006-02-07
55 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
56 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
57 GENERALI INVESTMENTS ASIA LIMITED 2 5 7 4 1 5 2 -4 -2 71.43 20.00 2007-12-28 2018-09-26
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 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
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 6 8 2 3 5 0 -3 -3 75.00 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 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2013-05-16 2017-02-12
65 TRADING CENTRAL ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-03-08
66 WINTON CAPITAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2014-09-18
67 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
68 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
69 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
70 Changjiang Futures (HK) Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-13 2024-10-25
71 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 Imperium International Asset Management Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-12-02
74 SDHG International Asset Management Limited 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2008-12-02
75 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 1 3 4 1 3 4 - 75.00 2015-06-19
76 Sino-Rich Securities & Futures Limited 2 1 3 2 2 4 0 1 1 33.33 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 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-03-09
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 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2008-03-12 2018-05-11
83 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 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 Citigroup Global Markets Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-01-09
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 HSBC Global Asset Management Holdings (Bahamas) Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2020-06-02
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 TFI Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-03-10
92 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
93 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
94 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
95 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
96 Zhonghao International Investment Consulting Co., Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2013-05-08
97 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
98 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
99 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
100 Annum Asset Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-24
101 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
102 CENTRAL WEALTH FUTURES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2016-02-25 2023-04-06
103 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
104 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
105 CLC FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-10-29 2021-04-12
106 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 1 1 2 -1 -3 -4 66.67 50.00
107 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
108 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
109 GRT Capital Management Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-11 2017-01-26
110 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-03-05
111 HZ CAPITAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-03-26 2024-06-07
112 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
113 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
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 MIZUHO SECURITIES ASIA LIMITED 3 1 4 1 1 2 -2 0 -2 25.00 50.00 2010-03-01 2016-05-05
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 3 4 1 0 1 0 -3 -3 75.00 0.00 2004-08-13
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 2 1 3 0 0 0 -2 -1 -3 33.33 - 2015-06-15
133 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 0 0 0 -2 -1 -3 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 CLSA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-06-02
136 CNCB (Hong Kong) Capital Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2015-08-20
137 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
138 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-11-09 2015-07-31
139 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-04-19
Average 2.66 5.63 8.28 2.61 6.03 8.64 67.93 69.81

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