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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-06-30 2016-06-30 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 12 140 152 15 161 176 3 21 24 92.11 91.48 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 50 54 4 48 52 0 -2 -2 92.59 92.31 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 50 53 3 46 49 0 -4 -4 94.34 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 5 39 44 5 36 41 0 -3 -3 88.64 87.80
5 Manulife Investment Management (Hong Kong) Limited 4 31 35 4 35 39 0 4 4 88.57 89.74
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 33 38 2 22 24 -3 -11 -14 86.84 91.67 2012-12-17
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 25 29 3 19 22 -1 -6 -7 86.21 86.36
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 18 23 3 17 20 -2 -1 -3 78.26 85.00
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
12 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 9 12 2 17 19 -1 8 7 75.00 89.47 2008-07-03
13 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 2 17 19 -1 8 7 75.00 89.47
14 HSBC Global Asset Management (Hong Kong) Limited 3 14 17 3 16 19 0 2 2 82.35 84.21
15 Yuanta Securities (Hong Kong) Company Limited 3 8 11 3 15 18 0 7 7 72.73 83.33 2012-06-14
16 NATIXIS ASIA LIMITED 2 14 16 4 12 16 2 -2 0 87.50 75.00 2008-08-05
17 YUE XIU FUTURES COMPANY LIMITED 2 3 5 3 12 15 1 9 10 60.00 80.00 2024-07-30
18 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 3 11 14 -1 0 -1 73.33 78.57 2016-08-31
19 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 11 14 0 1 1 76.92 78.57
20 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
21 AllianceBernstein Hong Kong Limited 3 5 8 3 9 12 0 4 4 62.50 75.00
22 EMPEROR FUTURES LIMITED 4 7 11 4 8 12 0 1 1 63.64 66.67
23 Guosen Securities (HK) Brokerage Company, Limited 3 10 13 2 10 12 -1 0 -1 76.92 83.33 2011-03-14
24 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 10 12 0 2 2 80.00 83.33
25 CES Capital International (Hong Kong) Co., Limited 2 4 6 2 9 11 0 5 5 66.67 81.82 2009-05-29 2023-02-23
26 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
27 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 7 12 4 7 11 -1 0 -1 58.33 63.64
28 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 5 8 3 7 10 0 2 2 62.50 70.00 2015-06-01
29 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2004-11-17
30 Oasis Management (Hong Kong) 2 7 9 3 6 9 1 -1 0 77.78 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 FULBRIGHT FUTURES LIMITED 2 2 4 2 6 8 0 4 4 50.00 75.00 2012-03-20
34 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 3 5 8 1 1 2 66.67 62.50 2024-03-21
35 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 5 8 0 -1 -1 66.67 62.50
36 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00
37 OLD PEAK LIMITED (HK) 3 4 7 3 5 8 0 1 1 57.14 62.50 2005-08-26 2023-06-20
38 PFP Capital Limited 3 5 8 4 4 8 1 -1 0 62.50 50.00
39 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2004-01-08 2020-02-04
40 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2012-12-04
41 HAMON ASSET MANAGEMENT LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86
42 HANG SENG FUTURES LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2017-11-17
43 SG SECURITIES (HK) LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2010-11-16
44 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2018-12-31
45 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 4 6 2 4 6 0 0 0 66.67 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 3 5 2 4 6 0 1 1 60.00 66.67 2014-02-12
50 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
51 Well Link International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-10-04
52 Ark Futures (Hong Kong) Limited 2 3 5 3 2 5 1 -1 0 60.00 40.00 2006-02-07
53 BOCI SECURITIES LIMITED 5 2 7 4 1 5 -1 -1 -2 28.57 20.00 2005-10-06
54 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
55 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
56 GENERALI INVESTMENTS ASIA LIMITED 2 5 7 4 1 5 2 -4 -2 71.43 20.00 2007-12-28 2018-09-26
57 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2016-10-10
58 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
59 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
60 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
61 ICBC Asset Management (Global) Company Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
62 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2015-02-26
63 Ping An Securities (Hong Kong) Futures Company Limited 2 1 3 1 4 5 -1 3 2 33.33 80.00 2012-03-30
64 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2013-05-16 2017-02-12
65 Soochow Securities International Futures Limited 1 3 4 2 3 5 1 0 1 75.00 60.00 2012-08-27
66 Superactive Financial Group Company Limited 2 1 3 1 4 5 -1 3 2 33.33 80.00 2015-06-12
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 4 0 4 1 -1 0 25.00 0.00
73 FIL Investment Management (Hong Kong) Limited 3 1 4 4 0 4 1 -1 0 25.00 0.00
74 Imperium International Asset Management Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-12-02
75 SDHG International Asset Management Limited 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2008-12-02
76 Sino-Rich Securities & Futures Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2012-06-21
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 CENTRAL WEALTH FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-02-25 2023-04-06
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 CLC FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-29 2021-04-12
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 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
91 LT Finance Management Limited 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-08-26 2019-09-25
92 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 2 3 -1 2 1 0.00 66.67 2015-06-19
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 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-24
102 BALLINGAL INVESTMENT ADVISORS LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2004-08-13
103 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
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 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 HZ CAPITAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-03-26 2024-06-07
109 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
110 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
111 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
112 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
113 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
114 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
115 MIB FUTURES (HONG KONG) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2011-03-25
116 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
118 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
119 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
120 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 TFI Asset Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-03-10
122 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
123 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 YF ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-04-16
125 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-02-24
126 YUE XIU SECURITIES COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-12-02
127 DELTA ASIA FINANCIAL FUTURES LIMITED 2 4 6 0 1 1 -2 -3 -5 66.67 100.00
128 GRT Capital Management Limited 1 0 1 0 1 1 -1 1 0 0.00 100.00 2013-12-11 2017-01-26
129 BLUE POOL CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-10 2015-12-01
130 CLSA FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2016-06-02
131 CNCB (Hong Kong) Capital Limited 1 6 7 0 0 0 -1 -6 -7 85.71 - 2015-08-20
132 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
133 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
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 2.63 5.66 8.29 2.62 6.31 8.93 68.23 70.69

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