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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2016-04-30 2017-04-30 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 16 156 172 13 190 203 -3 34 31 90.70 93.60 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 45 48 3 46 49 0 1 1 93.75 93.88
3 JPMorgan Asset Management (Asia Pacific) Limited 5 38 43 5 40 45 0 2 2 88.37 88.89
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 47 51 5 38 43 1 -9 -8 92.16 88.37 2004-10-14
5 Manulife Investment Management (Hong Kong) Limited 4 36 40 5 34 39 1 -2 -1 90.00 87.18
6 Morgan Stanley Asia Limited 6 28 34 6 27 33 0 -1 -1 82.35 81.82 2006-04-07
7 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 16 19 4 20 24 1 4 5 84.21 83.33
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 21 24 4 20 24 1 -1 0 87.50 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 Yuanta Securities (Hong Kong) Company Limited 3 9 12 2 21 23 -1 12 11 75.00 91.30 2012-06-14
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 13 19 0 0 0 68.42 68.42
13 HSBC Global Asset Management (Hong Kong) Limited 3 15 18 5 14 19 2 -1 1 83.33 73.68
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 16 21 4 13 17 -1 -3 -4 76.19 76.47
15 Standard Chartered Securities (Hong Kong) Limited 2 26 28 3 14 17 1 -12 -11 92.86 82.35 2012-12-17
16 BOCOM International Securities Limited 2 4 6 2 13 15 0 9 9 66.67 86.67 2007-09-10
17 AllianceBernstein Hong Kong Limited 3 6 9 4 10 14 1 4 5 66.67 71.43
18 Guosen Securities (HK) Brokerage Company, Limited 3 11 14 2 12 14 -1 1 0 78.57 85.71 2011-03-14
19 KGI FUTURES (HONG KONG) LIMITED 6 7 13 6 7 13 0 0 0 53.85 53.85
20 NATIXIS ASIA LIMITED 4 10 14 2 11 13 -2 1 -1 71.43 84.62 2008-08-05
21 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
22 GET NICE FUTURES COMPANY LIMITED 3 9 12 3 9 12 0 0 0 75.00 75.00
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 10 12 4 8 12 2 -2 0 83.33 66.67
24 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 5 7 12 1 -1 0 66.67 58.33
25 Oasis Management (Hong Kong) 2 9 11 3 9 12 1 0 1 81.82 75.00 2004-09-14
26 YUE XIU FUTURES COMPANY LIMITED 3 11 14 2 10 12 -1 -1 -2 78.57 83.33 2024-07-30
27 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
28 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 7 10 3 7 10 0 0 0 70.00 70.00 2015-06-01
29 EMPEROR FUTURES LIMITED 4 10 14 3 7 10 -1 -3 -4 71.43 70.00
30 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78 2004-11-17
31 FULBRIGHT FUTURES LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78 2012-03-20
32 HANG SENG FUTURES LIMITED 2 5 7 4 5 9 2 0 2 71.43 55.56 2017-11-17
33 China Securities (International) Brokerage Company Limited 2 4 6 3 5 8 1 1 2 66.67 62.50 2014-10-28
34 HAITONG INTERNATIONAL FUTURES LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00
35 OLD PEAK LIMITED (HK) 3 5 8 3 5 8 0 0 0 62.50 62.50 2005-08-26 2023-06-20
36 PFP Capital Limited 3 5 8 4 4 8 1 -1 0 62.50 50.00
37 Superactive Financial Group Company Limited 2 4 6 2 6 8 0 2 2 66.67 75.00 2015-06-12
38 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 2 6 4 3 7 0 1 1 33.33 42.86 2014-06-25
39 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 5 8 2 5 7 -1 0 -1 62.50 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 HAMON ASSET MANAGEMENT LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86
42 MCG Management Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 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 PO SANG SECURITIES LIMITED 0 0 0 6 1 7 6 1 7 - 14.29 2016-10-28 2022-05-31
45 Ark Futures (Hong Kong) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2006-02-07
46 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2018-12-31
47 CENTRAL WEALTH FUTURES LIMITED 2 0 2 2 4 6 0 4 4 0.00 66.67 2016-02-25 2023-04-06
48 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2004-01-08 2020-02-04
49 GUODU FUTURES (HONG KONG) LIMITED 2 5 7 1 5 6 -1 0 -1 71.43 83.33 2012-12-04
50 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 4 2 6 2 -1 1 60.00 33.33
51 Lee Kee Store Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2016-10-18 2020-06-05
52 SG SECURITIES (HK) LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2010-11-16
53 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 0 0 0 4 2 6 4 2 6 - 33.33 2017-02-22
54 Well Link International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2012-10-04
55 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2016-03-09
56 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-02-15
57 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
58 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-04-26
59 Citigroup Global Markets Asia Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2013-01-09
60 GENERALI INVESTMENTS ASIA LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2007-12-28 2018-09-26
61 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
62 HGNH International Futures Co., Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2010-11-01
63 Ping An Securities (Hong Kong) Futures Company Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2012-03-30
64 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 1 3 4 3 2 5 2 -1 1 75.00 40.00 2015-06-19
65 SINOPAC SECURITIES (ASIA) LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00 2013-05-16 2017-02-12
66 SINOPAC SECURITIES (ASIA) LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00 2017-02-13
67 TFI Asset Management Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2014-03-10
68 TRADING CENTRAL ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-03-08
69 WINTON CAPITAL ASIA LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2014-09-18
70 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
71 BALLINGAL INVESTMENT ADVISORS LIMITED 1 0 1 1 3 4 0 3 3 0.00 75.00 2004-08-13
72 BTL ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-12-12
73 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00
74 FIL Investment Advisors 3 1 4 4 0 4 1 -1 0 25.00 0.00
75 FIL Investment Management (Hong Kong) Limited 3 1 4 4 0 4 1 -1 0 25.00 0.00
76 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
77 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-10-11
78 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00 2008-03-05
79 ICBC Asset Management (Global) Company Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00
80 LONGRUN FINANCIAL GROUP LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-12-28
81 LT Finance Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2013-08-26 2019-09-25
82 LUK FOOK FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2015-02-26
83 Sino-Rich Securities & Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-06-21
84 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
85 VALUE PARTNERS HONG KONG LIMITED 2 1 3 4 0 4 2 -1 1 33.33 0.00 2007-11-19
86 VALUE PARTNERS LIMITED 2 1 3 4 0 4 2 -1 1 33.33 0.00
87 YF ASSET MANAGEMENT LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-04-16
88 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
89 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 AXA Investment Managers Chorus Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-03-02 2023-08-15
91 BOCI SECURITIES LIMITED 5 1 6 2 1 3 -3 0 -3 16.67 33.33 2005-10-06
92 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-03-12 2018-05-11
93 CAPE ASSET MANAGEMENT LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2006-05-23 2024-03-13
94 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
95 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
96 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
97 Credit Suisse (Hong Kong) Limited 4 1 5 3 0 3 -1 -1 -2 20.00 0.00 2008-11-04 2024-09-27
98 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
99 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
100 HZ CAPITAL LIMITED (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2015-03-26 2024-06-07
101 ICBC (Asia) Futures Company Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-23 2021-08-04
102 Imperium International Asset Management Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2008-12-02
103 INVESCO HONG KONG LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
104 INVESTPORT (H.K.) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-08-29
105 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
106 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-10-27
107 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
108 XIN HUA SECURITIES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-10-18 2024-08-22
109 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-24
110 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
111 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
112 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
113 Annum Asset Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-24
114 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
115 Changjiang Futures (HK) Limited 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2012-02-13 2024-10-25
116 Changjiang Securities Brokerage (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-26
117 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
118 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
119 CLC FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-10-29 2021-04-12
120 DELTA ASIA FINANCIAL FUTURES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
121 Duncan Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-04-25
122 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
123 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
124 Huatai (Hong Kong) Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-09-14
125 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
126 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
127 Lion Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-12-29 2025-09-16
128 Merrill Lynch (Asia Pacific) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-04-26
129 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
130 MFG Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
131 MIB FUTURES (HONG KONG) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-03-25
132 NFH Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-08-25 2025-06-13
133 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
134 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
135 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
136 SDHG International Asset Management Limited 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-12-02
137 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
138 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
139 Soochow Securities International Futures Limited 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2012-08-27
140 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
141 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-02
142 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-05-08
143 CHARLES SCHWAB, HONG KONG, LIMITED 3 11 14 0 0 0 -3 -11 -14 78.57 - 2016-08-31
144 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2016-10-10
145 GRT Capital Management Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2013-12-11 2017-01-26
146 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
147 MIZUHO SECURITIES ASIA LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2010-03-01 2016-05-05
Average 2.61 6.00 8.61 2.71 5.95 8.66 69.68 68.70

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