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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-07-31 2016-07-31 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 12 145 157 14 162 176 2 17 19 92.36 92.05 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 51 55 4 47 51 0 -4 -4 92.73 92.16 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 49 52 3 47 50 0 -2 -2 94.23 94.00
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 30 34 4 36 40 0 6 6 88.24 90.00
6 Morgan Stanley Asia Limited 6 26 32 6 29 35 0 3 3 81.25 82.86 2006-04-07
7 Standard Chartered Securities (Hong Kong) Limited 5 34 39 2 21 23 -3 -13 -16 87.18 91.30 2012-12-17
8 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 17 21 3 19 22 -1 2 1 80.95 86.36
9 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 25 28 3 18 21 0 -7 -7 89.29 85.71
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 16 21 5 15 20 0 -1 -1 76.19 75.00
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 2 10 12 2 17 19 0 7 7 83.33 89.47 2008-07-03
13 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 10 12 2 17 19 0 7 7 83.33 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 7 10 3 15 18 0 8 8 70.00 83.33 2012-06-14
16 YUE XIU FUTURES COMPANY LIMITED 2 4 6 3 13 16 1 9 10 66.67 81.25 2024-07-30
17 NATIXIS ASIA LIMITED 2 13 15 4 11 15 2 -2 0 86.67 73.33 2008-08-05
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 AllianceBernstein Hong Kong Limited 3 7 10 3 10 13 0 3 3 70.00 76.92
21 Guosen Securities (HK) Brokerage Company, Limited 3 9 12 2 11 13 -1 2 1 75.00 84.62 2011-03-14
22 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
23 EMPEROR FUTURES LIMITED 4 7 11 4 8 12 0 1 1 63.64 66.67
24 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 10 12 0 3 3 77.78 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 4 7 11 4 7 11 0 0 0 63.64 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 FULBRIGHT FUTURES LIMITED 2 2 4 2 7 9 0 5 5 50.00 77.78 2012-03-20
31 Oasis Management (Hong Kong) 2 7 9 3 6 9 1 -1 0 77.78 66.67 2004-09-14
32 BOCOM International Securities Limited 2 4 6 2 6 8 0 2 2 66.67 75.00 2007-09-10
33 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 5 8 0 -1 -1 66.67 62.50
34 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00
35 OCP Asia (Hong Kong) Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2004-09-03 2022-06-13
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 4 7 4 4 8 1 0 1 57.14 50.00
38 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2004-01-08 2020-02-04
39 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14 2024-03-21
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 3 6 4 3 7 1 0 1 50.00 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 Ark Futures (Hong Kong) Limited 2 3 5 3 3 6 1 0 1 60.00 50.00 2006-02-07
45 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2018-12-31
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 Ping An Securities (Hong Kong) Futures Company Limited 2 1 3 1 5 6 -1 4 3 33.33 83.33 2012-03-30
51 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
52 Well Link International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-10-04
53 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
54 Credit Suisse (Hong Kong) Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2008-11-04 2024-09-27
55 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2016-10-10
56 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
57 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
58 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
59 ICBC Asset Management (Global) Company Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
60 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2015-02-26
61 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2013-05-16 2017-02-12
62 Soochow Securities International Futures Limited 1 2 3 2 3 5 1 1 2 66.67 60.00 2012-08-27
63 Superactive Financial Group Company Limited 2 1 3 1 4 5 -1 3 2 33.33 80.00 2015-06-12
64 WINTON CAPITAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2014-09-18
65 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2016-03-09
66 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
67 BOCI SECURITIES LIMITED 5 2 7 4 0 4 -1 -2 -3 28.57 0.00 2005-10-06
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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 1 3 4 -1 0 -1 60.00 75.00 2011-04-26
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 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
74 GENERALI INVESTMENTS ASIA LIMITED 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2007-12-28 2018-09-26
75 SDHG International Asset Management Limited 2 5 7 3 1 4 1 -4 -3 71.43 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 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
79 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
80 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 2 1 3 -1 -2 -3 50.00 33.33 2008-03-12 2018-05-11
81 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
82 CENTRAL WEALTH FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-02-25 2023-04-06
83 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
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 2 1 3 2 1 3 0 0 0 33.33 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 Imperium International Asset Management Limited 1 0 1 2 1 3 1 1 2 0.00 33.33 2008-12-02
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 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67 2015-06-19
94 UPBEST COMMODITIES COMPANY LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33
95 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
96 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
98 Zhonghao International Investment Consulting Co., Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2013-05-08
99 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 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 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-24
103 BALLINGAL INVESTMENT ADVISORS LIMITED 1 2 3 2 0 2 1 -2 -1 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 Changjiang Securities Brokerage (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-26
106 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
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 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
109 HZ CAPITAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-03-26 2024-06-07
110 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
111 INVESCO HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
112 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
113 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
114 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
115 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
116 MIB FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2011-03-25
117 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
118 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
119 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
120 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
121 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
122 TFI Asset Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-03-10
123 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
124 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 YF ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-04-16
126 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-02-24
127 YUE XIU SECURITIES COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-12-02
128 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2012-08-28
129 DELTA ASIA FINANCIAL FUTURES LIMITED 3 3 6 1 0 1 -2 -3 -5 50.00 0.00
130 GRT Capital Management Limited 1 1 2 0 1 1 -1 0 -1 50.00 100.00 2013-12-11 2017-01-26
131 BLUE POOL CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-10 2015-12-01
132 CLSA FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2016-06-02
133 HGNH International Financial Corporation Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2011-12-09 2016-01-27
134 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
135 MIZUHO SECURITIES ASIA LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-01 2016-05-05
136 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-04-19
Average 2.61 5.76 8.36 2.58 6.27 8.85 68.84 70.87

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