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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-09-30 2016-09-30 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 12 150 162 12 169 181 0 19 19 92.59 93.37 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 51 55 4 46 50 0 -5 -5 92.73 92.00 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 47 50 3 46 49 0 -1 -1 94.00 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 4 38 42 5 38 43 1 0 1 90.48 88.37
5 Manulife Investment Management (Hong Kong) Limited 4 31 35 5 36 41 1 5 6 88.57 87.80
6 Morgan Stanley Asia Limited 6 30 36 6 27 33 0 -3 -3 83.33 81.82 2006-04-07
7 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 15 18 3 21 24 0 6 6 83.33 87.50
8 Standard Chartered Securities (Hong Kong) Limited 5 36 41 3 21 24 -2 -15 -17 87.80 87.50 2012-12-17
9 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 23 26 4 18 22 1 -5 -4 88.46 81.82
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 16 21 5 15 20 0 -1 -1 76.19 75.00
11 Yuanta Securities (Hong Kong) Company Limited 2 8 10 3 17 20 1 9 10 80.00 85.00 2012-06-14
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
13 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 3 16 19 1 6 7 83.33 84.21 2008-07-03
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 10 12 3 16 19 1 6 7 83.33 84.21
15 HSBC Global Asset Management (Hong Kong) Limited 3 14 17 3 16 19 0 2 2 82.35 84.21
16 NATIXIS ASIA LIMITED 2 13 15 4 12 16 2 -1 1 86.67 75.00 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 4 9 13 1 4 5 62.50 69.23
20 Guosen Securities (HK) Brokerage Company, Limited 3 8 11 2 11 13 -1 3 2 72.73 84.62 2011-03-14
21 KGI FUTURES (HONG KONG) LIMITED 6 6 12 6 7 13 0 1 1 50.00 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 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 8 12 0 0 0 66.67 66.67
25 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
26 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82
27 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 5 8 3 7 10 0 2 2 62.50 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 Oasis Management (Hong Kong) 2 7 9 3 7 10 1 0 1 77.78 70.00 2004-09-14
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 3 5 8 1 0 1 71.43 62.50 2007-09-10
33 HAITONG INTERNATIONAL FUTURES LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00
34 HAMON ASSET MANAGEMENT LIMITED 3 3 6 4 4 8 1 1 2 50.00 50.00
35 HANG SENG FUTURES LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00 2017-11-17
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 4 7 3 4 7 0 0 0 57.14 57.14 2004-01-08 2020-02-04
39 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2024-03-21
40 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 4 7 0 -2 -2 66.67 57.14
41 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2012-12-04
42 MCG Management Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2014-02-12
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 5 7 2 4 6 0 -1 -1 71.43 66.67 2018-12-31
46 China Securities (International) Brokerage Company Limited 2 5 7 2 4 6 0 -1 -1 71.43 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 Ping An Securities (Hong Kong) Futures Company Limited 2 3 5 1 5 6 -1 2 1 60.00 83.33 2012-03-30
49 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
50 Well Link International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2012-10-04
51 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
52 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
53 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2007-12-28 2018-09-26
54 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
55 HGNH International Futures Co., Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-01
56 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
57 ICBC Asset Management (Global) Company Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00
58 SINOPAC SECURITIES (ASIA) LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00 2013-05-16 2017-02-12
59 Soochow Securities International Futures Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2012-08-27
60 Superactive Financial Group Company Limited 2 2 4 1 4 5 -1 2 1 50.00 80.00 2015-06-12
61 WINTON CAPITAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2014-09-18
62 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2016-03-09
63 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
64 BOCI SECURITIES LIMITED 5 2 7 3 1 4 -2 -1 -3 28.57 25.00 2005-10-06
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 2 2 4 0 -1 -1 60.00 50.00 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 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 2 2 4 -2 -1 -3 42.86 50.00 2016-10-10
73 LT Finance Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2013-08-26 2019-09-25
74 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
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 2 4 2 2 4 0 0 0 50.00 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 1 3 2 1 3 0 0 0 33.33 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 2 3 5 2 1 3 0 -2 -2 60.00 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 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2008-03-05
89 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
90 HZ CAPITAL LIMITED (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2015-03-26 2024-06-07
91 Imperium International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
92 INVESCO HONG KONG LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
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 2 0 2 2 0 2 0 0 0 0.00 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 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 CLC FUTURES LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2014-10-29 2021-04-12
107 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
108 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
109 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
110 Huatai (Hong Kong) Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-09-14
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 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) 2 0 2 2 0 2 0 0 0 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 NFH Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-08-25 2025-06-13
118 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
119 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
120 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
121 SDHG International Asset Management Limited 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2008-12-02
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 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2007-11-19
125 VALUE PARTNERS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
126 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 YF ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-04-16
128 YUANTA FUTURES (HK) CO., LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2012-02-24
129 YUE XIU SECURITIES COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-12-02
130 Zhonghao International Investment Consulting Co., Limited 3 0 3 1 1 2 -2 1 -1 0.00 50.00 2013-05-08
131 GRT Capital Management Limited 2 0 2 0 1 1 -2 1 -1 0.00 100.00 2013-12-11 2017-01-26
132 TFI Asset Management Limited 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2014-03-10
133 BLUE POOL CAPITAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-11-10 2015-12-01
134 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 0 0 0 -4 -11 -15 73.33 - 2016-08-31
135 CLSA FUTURES LIMITED 5 0 5 0 0 0 -5 0 -5 0.00 - 2016-06-02
136 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
137 MIZUHO SECURITIES ASIA LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-01 2016-05-05
138 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2016-04-19
Average 2.56 5.83 8.39 2.60 6.14 8.73 69.52 70.25

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