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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2016-05-31 2017-05-31 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 16 154 170 13 194 207 -3 40 37 90.59 93.72 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 45 48 3 45 48 0 0 0 93.75 93.75
3 JPMorgan Asset Management (Asia Pacific) Limited 5 39 44 5 40 45 0 1 1 88.64 88.89
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 48 52 5 38 43 1 -10 -9 92.31 88.37 2004-10-14
5 Manulife Investment Management (Hong Kong) Limited 4 35 39 5 33 38 1 -2 -1 89.74 86.84
6 Morgan Stanley Asia Limited 6 27 33 6 31 37 0 4 4 81.82 83.78 2006-04-07
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 22 25 4 21 25 1 -1 0 88.00 84.00
8 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 17 20 4 19 23 1 2 3 85.00 82.61
9 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 11 13 2 21 23 0 10 10 84.62 91.30 2008-07-03
10 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 11 13 2 21 23 0 10 10 84.62 91.30
11 Yuanta Securities (Hong Kong) Company Limited 3 15 18 2 21 23 -1 6 5 83.33 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 16 19 5 14 19 2 -2 0 84.21 73.68
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 15 20 4 13 17 -1 -2 -3 75.00 76.47
15 Standard Chartered Securities (Hong Kong) Limited 2 25 27 3 14 17 1 -11 -10 92.59 82.35 2012-12-17
16 BOCOM International Securities Limited 2 6 8 2 13 15 0 7 7 75.00 86.67 2007-09-10
17 AllianceBernstein Hong Kong Limited 3 8 11 4 10 14 1 2 3 72.73 71.43
18 Guosen Securities (HK) Brokerage Company, Limited 2 11 13 2 11 13 0 0 0 84.62 84.62 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 8 10 2 10 12 0 2 2 80.00 83.33 2009-05-29 2023-02-23
22 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 3 9 12 -1 6 5 42.86 75.00 2004-01-08 2020-02-04
23 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 9 12 0 -1 -1 76.92 75.00
24 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 10 12 4 8 12 2 -2 0 83.33 66.67
25 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 5 7 12 1 -1 0 66.67 58.33
26 Oasis Management (Hong Kong) 3 6 9 3 9 12 0 3 3 66.67 75.00 2004-09-14
27 CHIEF COMMODITIES LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-05-17 2025-08-31
28 YUE XIU FUTURES COMPANY LIMITED 3 12 15 2 9 11 -1 -3 -4 80.00 81.82 2024-07-30
29 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 7 10 3 7 10 0 0 0 70.00 70.00 2015-06-01
30 EMPEROR FUTURES LIMITED 4 9 13 3 7 10 -1 -2 -3 69.23 70.00
31 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78 2004-11-17
32 FULBRIGHT FUTURES LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78 2012-03-20
33 HANG SENG FUTURES LIMITED 2 5 7 4 5 9 2 0 2 71.43 55.56 2017-11-17
34 China Securities (International) Brokerage Company Limited 2 4 6 3 5 8 1 1 2 66.67 62.50 2014-10-28
35 HAITONG INTERNATIONAL FUTURES LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00
36 OLD PEAK LIMITED (HK) 3 5 8 3 5 8 0 0 0 62.50 62.50 2005-08-26 2023-06-20
37 PFP Capital Limited 3 5 8 4 4 8 1 -1 0 62.50 50.00
38 Superactive Financial Group Company Limited 2 4 6 2 6 8 0 2 2 66.67 75.00 2015-06-12
39 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 2 6 4 3 7 0 1 1 33.33 42.86 2014-06-25
40 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 5 8 2 5 7 -1 0 -1 62.50 71.43 2024-03-21
41 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 3 4 7 0 -1 -1 62.50 57.14
42 HAMON ASSET MANAGEMENT LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86
43 MCG Management Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2014-02-12
44 Ping An Securities (Hong Kong) Futures Company Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2012-03-30
45 PO SANG SECURITIES LIMITED 0 0 0 6 1 7 6 1 7 - 14.29 2016-10-28 2022-05-31
46 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2017-02-22
47 Ark Futures (Hong Kong) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2006-02-07
48 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2018-12-31
49 CENTRAL WEALTH FUTURES LIMITED 2 0 2 2 4 6 0 4 4 0.00 66.67 2016-02-25 2023-04-06
50 Citigroup Global Markets Asia Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2013-01-09
51 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 4 2 6 2 -1 1 60.00 33.33
52 Lee Kee Store Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2016-10-18 2020-06-05
53 OCP Asia (Hong Kong) Limited 3 6 9 3 3 6 0 -3 -3 66.67 50.00 2004-09-03 2022-06-13
54 SG SECURITIES (HK) LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2010-11-16
55 TRADING CENTRAL ASIA LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2011-03-08
56 Well Link International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2012-10-04
57 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2016-03-09
58 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-02-15
59 BTL ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2016-12-12
60 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
61 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-04-26
62 GENERALI INVESTMENTS ASIA LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2007-12-28 2018-09-26
63 GUODU FUTURES (HONG KONG) LIMITED 2 5 7 1 4 5 -1 -1 -2 71.43 80.00 2012-12-04
64 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
65 HGNH International Futures Co., Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2010-11-01
66 TFI Asset Management Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2014-03-10
67 WINTON CAPITAL ASIA LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2014-09-18
68 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
69 BALLINGAL INVESTMENT ADVISORS LIMITED 1 0 1 1 3 4 0 3 3 0.00 75.00 2004-08-13
70 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00
71 FIL Investment Advisors 4 0 4 4 0 4 0 0 0 0.00 0.00
72 FIL Investment Management (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 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 ICBC Asset Management (Global) Company Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00
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 2 5 3 1 4 0 -1 -1 40.00 25.00 2015-02-26
78 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 3 1 4 2 -1 1 66.67 25.00 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 SINOPAC SECURITIES (ASIA) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2013-05-16 2017-02-12
81 SINOPAC SECURITIES (ASIA) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2017-02-13
82 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
83 VALUE PARTNERS HONG KONG LIMITED 2 1 3 4 0 4 2 -1 1 33.33 0.00 2007-11-19
84 VALUE PARTNERS LIMITED 2 1 3 4 0 4 2 -1 1 33.33 0.00
85 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
86 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
87 Annum Asset Management (Hong Kong) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-12-24
88 AXA Investment Managers Chorus Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-03-02 2023-08-15
89 BOCI SECURITIES LIMITED 4 1 5 2 1 3 -2 0 -2 20.00 33.33 2005-10-06
90 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-03-12 2018-05-11
91 CAPE ASSET MANAGEMENT LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2006-05-23 2024-03-13
92 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
93 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
94 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67 2006-05-23 2017-07-25
95 Credit Suisse (Hong Kong) Limited 4 1 5 3 0 3 -1 -1 -2 20.00 0.00 2008-11-04 2024-09-27
96 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
97 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-03-05
98 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
99 HZ CAPITAL LIMITED (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2015-03-26 2024-06-07
100 ICBC (Asia) Futures Company Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-23 2021-08-04
101 Imperium International Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-12-02
102 INVESCO HONG KONG LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
103 INVESTPORT (H.K.) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-08-29
104 LONGRUN FINANCIAL GROUP LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-12-28
105 MFG Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-05-24
106 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-10-27
108 WINNINGTON CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
109 XIN HUA SECURITIES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-10-18 2024-08-22
110 YF ASSET MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-04-16
111 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-24
112 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
113 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
114 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
115 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
116 Changjiang Futures (HK) Limited 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2012-02-13 2024-10-25
117 Changjiang Securities Brokerage (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-26
118 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
119 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
120 CLC FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-10-29 2021-04-12
121 DELTA ASIA FINANCIAL FUTURES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
122 Duncan Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-04-25
123 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
124 Haitong Futures Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-07-07 2022-06-29
125 Hang Tai Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-05-25 2024-11-19
126 Huatai (Hong Kong) Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-09-14
127 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
128 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
129 Lion Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-12-29 2025-09-16
130 Merrill Lynch (Asia Pacific) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-04-26
131 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
132 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
133 NFH Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2016-08-25 2025-06-13
134 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
135 RC Futures Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-19
136 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
137 SDHG International Asset Management Limited 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-12-02
138 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
139 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
140 Soochow Securities International Futures Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2012-08-27
141 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
142 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-02
143 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-05-08
144 CHARLES SCHWAB, HONG KONG, LIMITED 3 11 14 0 0 0 -3 -11 -14 78.57 - 2016-08-31
145 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2016-10-10
146 GRT Capital Management Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2013-12-11 2017-01-26
147 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-01-03
Average 2.62 6.12 8.74 2.69 6.00 8.69 69.98 69.08

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