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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-08-31 2016-08-31 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 12 146 158 12 163 175 0 17 17 92.41 93.14 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 50 54 4 46 50 0 -4 -4 92.59 92.00 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 49 52 3 46 49 0 -3 -3 94.23 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 5 40 45 5 38 43 0 -2 -2 88.89 88.37
5 Manulife Investment Management (Hong Kong) Limited 4 31 35 5 35 40 1 4 5 88.57 87.50
6 Morgan Stanley Asia Limited 6 27 33 6 28 34 0 1 1 81.82 82.35 2006-04-07
7 Standard Chartered Securities (Hong Kong) Limited 5 36 41 3 20 23 -2 -16 -18 87.80 86.96 2012-12-17
8 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 15 18 3 19 22 0 4 4 83.33 86.36
9 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 24 27 4 18 22 1 -6 -5 88.89 81.82
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 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 2 7 9 3 16 19 1 9 10 77.78 84.21 2012-06-14
14 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 2 16 18 0 6 6 83.33 88.89 2008-07-03
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 10 12 2 16 18 0 6 6 83.33 88.89
16 NATIXIS ASIA LIMITED 2 13 15 4 11 15 2 -2 0 86.67 73.33 2008-08-05
17 YUE XIU FUTURES COMPANY LIMITED 2 6 8 3 12 15 1 6 7 75.00 80.00 2024-07-30
18 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 11 14 0 1 1 76.92 78.57
19 AllianceBernstein Hong Kong Limited 3 5 8 3 10 13 0 5 5 62.50 76.92
20 Guosen Securities (HK) Brokerage Company, Limited 3 9 12 2 11 13 -1 2 1 75.00 84.62 2011-03-14
21 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 7 13 0 3 3 40.00 53.85
22 CES Capital International (Hong Kong) Co., Limited 2 4 6 2 10 12 0 6 6 66.67 83.33 2009-05-29 2023-02-23
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 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
26 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 7 11 0 -1 -1 66.67 63.64
27 Oasis Management (Hong Kong) 2 7 9 3 8 11 1 1 2 77.78 72.73 2004-09-14
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 PFP Capital Limited 3 4 7 4 5 9 1 1 2 57.14 55.56
32 BOCOM International Securities Limited 2 5 7 2 6 8 0 1 1 71.43 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 HAMON ASSET MANAGEMENT LIMITED 3 3 6 4 4 8 1 1 2 50.00 50.00
36 OCP Asia (Hong Kong) Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2004-09-03 2022-06-13
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 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 2 5 7 0 0 0 71.43 71.43 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 HANG SENG FUTURES LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2017-11-17
42 SG SECURITIES (HK) LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2010-11-16
43 Ark Futures (Hong Kong) Limited 2 3 5 3 3 6 1 0 1 60.00 50.00 2006-02-07
44 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2018-12-31
45 China Securities (International) Brokerage Company Limited 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2014-10-28
46 CHINA XIN YONGAN FUTURES COMPANY LIMITED 1 2 3 4 2 6 3 0 3 66.67 33.33 2014-06-25
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00
48 MCG Management Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2014-02-12
49 Ping An Securities (Hong Kong) Futures Company Limited 2 1 3 1 5 6 -1 4 3 33.33 83.33 2012-03-30
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 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
53 GENERALI INVESTMENTS ASIA LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2007-12-28 2018-09-26
54 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2016-10-10
55 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
56 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
57 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
58 ICBC Asset Management (Global) Company Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00
59 SINOPAC SECURITIES (ASIA) LIMITED 2 1 3 4 1 5 2 0 2 33.33 20.00 2013-05-16 2017-02-12
60 Soochow Securities International Futures Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2012-08-27
61 Superactive Financial Group Company Limited 2 2 4 1 4 5 -1 2 1 50.00 80.00 2015-06-12
62 WINTON CAPITAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2014-09-18
63 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2016-03-09
64 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
65 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
66 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
67 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 1 3 4 -1 0 -1 60.00 75.00 2011-04-26
68 Credit Suisse (Hong Kong) Limited 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2008-11-04 2024-09-27
69 FIL Investment Advisors 3 1 4 4 0 4 1 -1 0 25.00 0.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 4 0 4 1 -1 0 25.00 0.00
71 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
72 LT Finance Management Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-08-26 2019-09-25
73 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
74 SDHG International Asset Management Limited 3 4 7 3 1 4 0 -3 -3 57.14 25.00 2008-12-02
75 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 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 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 BOCI SECURITIES LIMITED 5 2 7 3 0 3 -2 -2 -4 28.57 0.00 2005-10-06
81 BREVAN HOWARD (HONG KONG) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 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 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
85 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
86 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
87 Citigroup Global Markets Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-01-09
88 CLC FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-29 2021-04-12
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2008-03-05
91 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
92 Imperium International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
93 INVESTPORT (H.K.) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2016-08-29
94 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
95 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-10-27
96 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
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 BALLINGAL INVESTMENT ADVISORS LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2004-08-13
102 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
103 Changjiang Securities Brokerage (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-26
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 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
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 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
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) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
115 MIB FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2011-03-25
116 NFH Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-08-25 2025-06-13
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 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2007-11-19
124 VALUE PARTNERS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 1 1 2 2 0 2 1 -1 0 50.00 0.00 2012-02-24
128 YUE XIU SECURITIES COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-12-02
129 Zhonghao International Investment Consulting Co., Limited 3 0 3 1 1 2 -2 1 -1 0.00 50.00 2013-05-08
130 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2012-08-28
131 GRT Capital Management Limited 1 1 2 0 1 1 -1 0 -1 50.00 100.00 2013-12-11 2017-01-26
132 BLUE POOL CAPITAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-11-10 2015-12-01
133 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 0 0 0 -4 -11 -15 73.33 - 2016-08-31
134 CLSA FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2016-06-02
135 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
136 MIZUHO SECURITIES ASIA LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-01 2016-05-05
137 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2016-04-19
Average 2.56 5.78 8.34 2.60 6.11 8.70 69.32 70.18

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