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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2015-11-30 2016-11-30 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 13 153 166 13 177 190 0 24 24 92.17 93.16 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 48 52 4 46 50 0 -2 -2 92.31 92.00 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 48 51 3 46 49 0 -2 -2 94.12 93.88
4 JPMorgan Asset Management (Asia Pacific) Limited 4 40 44 5 39 44 1 -1 0 90.91 88.64
5 Manulife Investment Management (Hong Kong) Limited 4 34 38 5 36 41 1 2 3 89.47 87.80
6 Morgan Stanley Asia Limited 6 30 36 6 28 34 0 -2 -2 83.33 82.35 2006-04-07
7 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 16 19 3 22 25 0 6 6 84.21 88.00
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 25 28 4 20 24 1 -5 -4 89.29 83.33
9 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 2 21 23 0 11 11 83.33 91.30 2008-07-03
10 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 10 12 2 21 23 0 11 11 83.33 91.30
11 HSBC Global Asset Management (Hong Kong) Limited 3 15 18 4 16 20 1 1 2 83.33 80.00
12 Standard Chartered Securities (Hong Kong) Limited 3 23 26 3 17 20 0 -6 -6 88.46 85.00 2012-12-17
13 Yuanta Securities (Hong Kong) Company Limited 2 9 11 3 17 20 1 8 9 81.82 85.00 2012-06-14
14 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
15 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 5 13 18 1 -4 -3 80.95 72.22
16 NATIXIS ASIA LIMITED 3 13 16 4 11 15 1 -2 -1 81.25 73.33 2008-08-05
17 YUE XIU FUTURES COMPANY LIMITED 2 7 9 3 12 15 1 5 6 77.78 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 Guosen Securities (HK) Brokerage Company, Limited 2 10 12 2 12 14 0 2 2 83.33 85.71 2011-03-14
20 AllianceBernstein Hong Kong Limited 3 8 11 4 9 13 1 1 2 72.73 69.23
21 KGI FUTURES (HONG KONG) LIMITED 6 7 13 6 7 13 0 0 0 53.85 53.85
22 CES Capital International (Hong Kong) Co., Limited 2 3 5 2 10 12 0 7 7 60.00 83.33 2009-05-29 2023-02-23
23 EMPEROR FUTURES LIMITED 4 10 14 4 8 12 0 -2 -2 71.43 66.67
24 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 8 12 0 0 0 66.67 66.67
25 Oasis Management (Hong Kong) 2 7 9 3 9 12 1 2 3 77.78 75.00 2004-09-14
26 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
27 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 9 11 0 0 0 81.82 81.82
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 6 9 0 0 0 66.67 66.67 2004-11-17
30 FULBRIGHT FUTURES LIMITED 2 3 5 2 7 9 0 4 4 60.00 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 3 4 7 3 5 8 0 1 1 57.14 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 5 7 3 5 8 1 0 1 71.43 62.50 2017-11-17
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 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 2 4 4 3 7 2 1 3 50.00 42.86 2014-06-25
38 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-01-08 2020-02-04
39 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2024-03-21
40 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 3 4 7 0 -1 -1 62.50 57.14
41 GUODU FUTURES (HONG KONG) LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 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 OCP Asia (Hong Kong) Limited 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2004-09-03 2022-06-13
44 Ark Futures (Hong Kong) Limited 3 2 5 3 3 6 0 1 1 40.00 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 3 5 3 3 6 1 0 1 60.00 50.00 2014-10-28
47 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00
48 Lee Kee Store Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2016-10-18 2020-06-05
49 SG SECURITIES (HK) LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2010-11-16
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 4 1 5 2 -2 0 60.00 20.00 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 2 6 3 2 5 -1 0 -1 33.33 40.00 2010-11-01
56 ICBC Asset Management (Global) Company Limited 3 5 8 2 3 5 -1 -2 -3 62.50 60.00
57 Ping An Securities (Hong Kong) Futures Company Limited 2 4 6 1 4 5 -1 0 -1 66.67 80.00 2012-03-30
58 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 4 1 5 1 0 1 25.00 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 3 5 1 4 5 -1 1 0 60.00 80.00 2015-06-12
61 TRADING CENTRAL ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-03-08
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 BOCI SECURITIES LIMITED 5 2 7 3 1 4 -2 -1 -3 28.57 25.00 2005-10-06
66 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
67 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
68 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2011-04-26
69 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
70 Credit Suisse (Hong Kong) Limited 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2008-11-04 2024-09-27
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 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-10-11
75 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 4 0 4 1 -1 0 25.00 0.00 2008-03-05
76 LT Finance Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2013-08-26 2019-09-25
77 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
78 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-06-19
79 Sino-Rich Securities & Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-06-21
80 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
81 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
82 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
83 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-08-13
84 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-03-12 2018-05-11
85 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
86 CENTRAL WEALTH FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-02-25 2023-04-06
87 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
88 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
89 CLC FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-29 2021-04-12
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
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 HZ CAPITAL LIMITED (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2015-03-26 2024-06-07
93 Imperium International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
94 INVESCO HONG KONG LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
95 INVESTPORT (H.K.) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2016-08-29
96 NFH Securities and Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2016-08-25 2025-06-13
97 PO SANG SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2016-10-28 2022-05-31
98 TFI Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-03-10
99 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
101 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-10-27
103 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 Zhonghao International Investment Consulting Co., Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-05-08
105 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
106 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
107 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
108 Annum Asset Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-24
109 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
110 Changjiang Futures (HK) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-02-13 2024-10-25
111 Changjiang Securities Brokerage (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-26
112 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
113 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
114 DELTA ASIA FINANCIAL FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
115 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
116 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
117 Huatai (Hong Kong) Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-09-14
118 ICBC (Asia) Futures Company Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-07-23 2021-08-04
119 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
120 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
121 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
122 MFG Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
123 MIB FUTURES (HONG KONG) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-03-25
124 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
126 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
127 SDHG International Asset Management Limited 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2008-12-02
128 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
129 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
130 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
131 XIN HUA SECURITIES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2016-10-18 2024-08-22
132 YF ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-04-16
133 YUANTA FUTURES (HK) CO., LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2012-02-24
134 YUE XIU SECURITIES COMPANY LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2013-12-02
135 GRT Capital Management Limited 2 0 2 0 1 1 -2 1 -1 0.00 100.00 2013-12-11 2017-01-26
136 BLUE POOL CAPITAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-11-10 2015-12-01
137 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 0 0 0 -4 -11 -15 73.33 - 2016-08-31
138 CLSA FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2016-06-02
139 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2016-10-10
140 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
141 MIZUHO SECURITIES ASIA LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-01 2016-05-05
142 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2016-04-19
Average 2.56 5.95 8.50 2.65 6.16 8.81 69.93 69.89

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