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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-05-31 2016-05-31 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 14 140 154 16 154 170 2 14 16 90.91 90.59 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 50 53 3 45 48 0 -5 -5 94.34 93.75
4 JPMorgan Asset Management (Asia Pacific) Limited 5 39 44 5 39 44 0 0 0 88.64 88.64
5 Manulife Investment Management (Hong Kong) Limited 4 29 33 4 35 39 0 6 6 87.88 89.74
6 Morgan Stanley Asia Limited 6 26 32 6 27 33 0 1 1 81.25 81.82 2006-04-07
7 Standard Chartered Securities (Hong Kong) Limited 5 36 41 2 25 27 -3 -11 -14 87.80 92.59 2012-12-17
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 25 29 3 22 25 -1 -3 -4 86.21 88.00
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 5 15 20 1 -1 0 80.00 75.00
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 19 24 3 17 20 -2 -2 -4 79.17 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 3 14 17 3 16 19 0 2 2 82.35 84.21
13 Yuanta Securities (Hong Kong) Company Limited 3 8 11 3 15 18 0 7 7 72.73 83.33 2012-06-14
14 YUE XIU FUTURES COMPANY LIMITED 2 3 5 3 12 15 1 9 10 60.00 80.00 2024-07-30
15 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 3 11 14 -1 0 -1 73.33 78.57 2016-08-31
16 NATIXIS ASIA LIMITED 2 14 16 4 10 14 2 -4 -2 87.50 71.43 2008-08-05
17 EMPEROR FUTURES LIMITED 4 7 11 4 9 13 0 2 2 63.64 69.23
18 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
19 Guosen Securities (HK) Brokerage Company, Limited 3 10 13 2 11 13 -1 1 0 76.92 84.62 2011-03-14
20 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 7 10 2 11 13 -1 4 3 70.00 84.62 2008-07-03
21 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 2 11 13 -1 4 3 70.00 84.62
22 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 10 12 0 2 2 80.00 83.33
24 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
25 AllianceBernstein Hong Kong Limited 3 4 7 3 8 11 0 4 4 57.14 72.73
26 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
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 CES Capital International (Hong Kong) Co., Limited 2 4 6 2 8 10 0 4 4 66.67 80.00 2009-05-29 2023-02-23
30 Oasis Management (Hong Kong) 2 6 8 3 6 9 1 0 1 75.00 66.67 2004-09-14
31 OCP Asia (Hong Kong) Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2004-09-03 2022-06-13
32 BOCOM International Securities Limited 2 3 5 2 6 8 0 3 3 60.00 75.00 2007-09-10
33 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2024-03-21
34 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 5 8 0 -1 -1 66.67 62.50
35 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00
36 OLD PEAK LIMITED (HK) 3 4 7 3 5 8 0 1 1 57.14 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 4 3 7 0 0 0 42.86 42.86 2004-01-08 2020-02-04
40 FULBRIGHT FUTURES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2012-03-20
41 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2012-12-04
42 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14
43 HANG SENG FUTURES LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2017-11-17
44 SG SECURITIES (HK) LIMITED 2 2 4 3 4 7 1 2 3 50.00 57.14 2010-11-16
45 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2011-04-26
46 China Securities (International) Brokerage Company Limited 2 7 9 2 4 6 0 -3 -3 77.78 66.67 2014-10-28
47 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 4 2 6 2 0 2 50.00 33.33 2014-06-25
48 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67
49 MCG Management Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-02-12
50 Ping An Securities (Hong Kong) Futures Company Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2012-03-30
51 Superactive Financial Group Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2015-06-12
52 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
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 BOCI SECURITIES LIMITED 5 2 7 4 1 5 -1 -1 -2 28.57 20.00 2005-10-06
56 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
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 GENERALI INVESTMENTS ASIA LIMITED 2 5 7 4 1 5 2 -4 -2 71.43 20.00 2007-12-28 2018-09-26
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 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
62 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
63 ICBC Asset Management (Global) Company Limited 2 6 8 2 3 5 0 -3 -3 75.00 60.00
64 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2015-02-26
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 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 4 0 4 1 -1 0 25.00 0.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 4 0 4 1 -1 0 25.00 0.00
73 SDHG International Asset Management Limited 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2008-12-02
74 Sino-Rich Securities & Futures Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2012-06-21
75 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
76 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-03-09
77 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
78 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
79 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2008-03-12 2018-05-11
80 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
81 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
82 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
83 Citigroup Global Markets Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-01-09
84 CLC FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-29 2021-04-12
85 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
86 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
87 Imperium International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
88 LT Finance Management Limited 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-08-26 2019-09-25
89 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 1 2 3 1 2 3 - 66.67 2015-06-19
90 Soochow Securities International Futures Limited 1 4 5 2 1 3 1 -3 -2 80.00 33.33 2012-08-27
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 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 1 1 2 -1 -3 -4 66.67 50.00
106 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
107 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
108 GRT Capital Management Limited 1 0 1 1 1 2 0 1 1 0.00 50.00 2013-12-11 2017-01-26
109 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-03-05
110 HZ CAPITAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 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 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
115 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
116 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
117 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
118 MIB FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2011-03-25
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 0 2 2 0 2 0 0 0 0.00 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 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-02
129 BALLINGAL INVESTMENT ADVISORS LIMITED 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2004-08-13
130 BLUE POOL CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-10 2015-12-01
131 CLSA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-06-02
132 CNCB (Hong Kong) Capital Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2015-08-20
133 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
134 MIZUHO SECURITIES ASIA LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-01 2016-05-05
135 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-11-09 2015-07-31
136 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-04-19
Average 2.64 5.73 8.37 2.62 6.15 8.77 68.46 70.11

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