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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2016-09-30 2017-09-30 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 12 169 181 15 202 217 3 33 36 93.37 93.09 2003-12-02
2 Morgan Stanley Asia Limited 6 27 33 5 43 48 -1 16 15 81.82 89.58 2006-04-07
3 JPMorgan Asset Management (Asia Pacific) Limited 5 38 43 5 42 47 0 4 4 88.37 89.36
4 PHILLIP COMMODITIES (H.K.) LIMITED 3 46 49 3 43 46 0 -3 -3 93.88 93.48
5 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 46 50 5 40 45 1 -6 -5 92.00 88.89 2004-10-14
6 Manulife Investment Management (Hong Kong) Limited 5 36 41 5 32 37 0 -4 -4 87.80 86.49
7 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 16 19 2 27 29 -1 11 10 84.21 93.10 2008-07-03
8 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 16 19 2 27 29 -1 11 10 84.21 93.10
9 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 21 24 5 17 22 2 -4 -2 87.50 77.27
10 Standard Chartered Securities (Hong Kong) Limited 3 21 24 3 17 20 0 -4 -4 87.50 85.00 2012-12-17
11 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 18 22 3 17 20 -1 -1 -2 81.82 85.00
12 Yuanta Securities (Hong Kong) Company Limited 3 17 20 2 18 20 -1 1 0 85.00 90.00 2012-06-14
13 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 12 18 0 -1 -1 68.42 66.67
14 HSBC Global Asset Management (Hong Kong) Limited 3 16 19 5 13 18 2 -3 -1 84.21 72.22
15 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 15 20 4 13 17 -1 -2 -3 75.00 76.47
16 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 14 17 0 10 10 57.14 82.35 2004-01-08 2020-02-04
17 BOCOM International Securities Limited 3 5 8 2 13 15 -1 8 7 62.50 86.67 2007-09-10
18 KGI FUTURES (HONG KONG) LIMITED 6 7 13 6 8 14 0 1 1 53.85 57.14
19 NATIXIS ASIA LIMITED 4 12 16 2 12 14 -2 0 -2 75.00 85.71 2008-08-05
20 AllianceBernstein Hong Kong Limited 4 9 13 4 9 13 0 0 0 69.23 69.23
21 Guosen Securities (HK) Brokerage Company, Limited 2 11 13 2 11 13 0 0 0 84.62 84.62 2011-03-14
22 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 9 13 0 1 1 66.67 69.23
23 Oasis Management (Hong Kong) 3 7 10 3 10 13 0 3 3 70.00 76.92 2004-09-14
24 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 7 10 3 9 12 0 2 2 70.00 75.00 2015-06-01
25 CES Capital International (Hong Kong) Co., Limited 2 10 12 3 9 12 1 -1 0 83.33 75.00 2009-05-29 2023-02-23
26 CHIEF COMMODITIES LIMITED 3 8 11 4 8 12 1 0 1 72.73 66.67 2006-05-17 2025-08-31
27 AXA Investment Managers Chorus Limited 0 0 0 3 8 11 3 8 11 - 72.73 2017-03-02 2023-08-15
28 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 8 11 0 -3 -3 78.57 72.73
29 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 3 8 11 1 -1 0 81.82 72.73
30 EMPEROR FUTURES LIMITED 4 8 12 3 7 10 -1 -1 -2 66.67 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 7 9 2 7 9 0 0 0 77.78 77.78 2012-03-20
33 GOLDMAN SACHS (ASIA) L.L.C. 3 4 7 4 5 9 1 1 2 57.14 55.56
34 Superactive Financial Group Company Limited 1 4 5 3 6 9 2 2 4 80.00 66.67 2015-06-12
35 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 2 6 4 4 8 0 2 2 33.33 50.00 2014-06-25
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 4 5 9 3 5 8 -1 0 -1 55.56 62.50
38 YUE XIU FUTURES COMPANY LIMITED 3 12 15 1 7 8 -2 -5 -7 80.00 87.50 2024-07-30
39 CENTRAL WEALTH FUTURES LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2016-02-25 2023-04-06
40 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2024-03-21
41 HAMON ASSET MANAGEMENT LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14
42 MCG Management Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-02-12
43 Ping An Securities (Hong Kong) Futures Company Limited 1 5 6 3 4 7 2 -1 1 83.33 57.14 2012-03-30
44 PO SANG SECURITIES LIMITED 0 0 0 6 1 7 6 1 7 - 14.29 2016-10-28 2022-05-31
45 SHACOM FUTURES LIMITED 2 0 2 3 4 7 1 4 5 0.00 57.14
46 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2017-02-22
47 Well Link International Securities Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2012-10-04
48 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2016-03-09
49 Ark Futures (Hong Kong) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2006-02-07
50 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2011-02-15
51 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2011-04-26
52 HAITONG INTERNATIONAL FUTURES LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67
53 HGNH International Futures Co., Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2010-11-01
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 4 2 6 2 -1 1 60.00 33.33
55 Merrill Lynch (Asia Pacific) Limited 0 0 0 2 4 6 2 4 6 - 66.67 2017-04-26
56 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2015-06-19
57 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2018-12-31
58 BTL ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2016-12-12
59 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
60 China Securities (International) Brokerage Company Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2014-10-28
61 Citigroup Global Markets Asia Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2013-01-09
62 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
63 GENERALI INVESTMENTS ASIA LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00 2007-12-28 2018-09-26
64 OCP Asia (Hong Kong) Limited 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2004-09-03 2022-06-13
65 SG SECURITIES (HK) LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2010-11-16
66 TFI Asset Management Limited 1 0 1 2 3 5 1 3 4 0.00 60.00 2014-03-10
67 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
68 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
69 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2016-10-11
70 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2010-11-26
71 Hang Tai Asset Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2017-05-25 2024-11-19
72 INVESTPORT (H.K.) LIMITED 3 0 3 2 2 4 -1 2 1 0.00 50.00 2016-08-29
73 Lee Kee Store Company Limited 0 0 0 1 3 4 1 3 4 - 75.00 2016-10-18 2020-06-05
74 LT Finance Management Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2013-08-26 2019-09-25
75 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
76 NFH Securities and Futures Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-08-25 2025-06-13
77 Sino-Rich Securities & Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-06-21
78 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
79 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2017-02-13
80 TRADING CENTRAL ASIA LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2011-03-08
81 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
82 VALUE PARTNERS HONG KONG LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00 2007-11-19
83 VALUE PARTNERS LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00
84 WING FUNG SECURITIES LIMITED 0 0 0 4 0 4 4 0 4 - 0.00 2017-09-21
85 WINTON CAPITAL ASIA LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-09-18
86 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
87 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-08-13
89 BOCI SECURITIES LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 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 China International Futures Company Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-08-29 2023-08-18
93 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
94 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
95 Credit Suisse (Hong Kong) Limited 4 0 4 3 0 3 -1 0 -1 0.00 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 GUODU FUTURES (HONG KONG) LIMITED 2 5 7 0 3 3 -2 -2 -4 71.43 100.00 2012-12-04
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 Huatai (Hong Kong) Futures Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2016-09-14
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 ICBC Asset Management (Global) Company Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33
102 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 Lion Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2016-12-29 2025-09-16
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 RC Futures Advisory Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-05-19
107 Trinity Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-08-07 2024-06-24
108 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
109 VC INTERNATIONAL TRADING LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2022-10-27
110 XIN HUA SECURITIES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2016-10-18 2024-08-22
111 YF ASSET MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-04-16
112 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-24
113 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
114 AIF Securities Limited 0 0 0 1 1 2 1 1 2 - 50.00 2017-07-31
115 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
116 Annum Asset Management (Hong Kong) Limited 2 0 2 0 2 2 -2 2 0 0.00 100.00 2013-12-24
117 AP Capital Management (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-08-10
118 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
119 Changjiang Futures (HK) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2012-02-13 2024-10-25
120 Changjiang Securities Brokerage (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-26
121 CHARLESWIN BULLION LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2017-09-06
122 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
123 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
124 CLC FUTURES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2014-10-29 2021-04-12
125 Comity Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2017-06-19 2018-09-19
126 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 Duncan Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-04-25
128 Eddid Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-09-19
129 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
130 FIL Investment Advisors 4 0 4 2 0 2 -2 0 -2 0.00 0.00
131 FIL Investment Management (Hong Kong) Limited 4 0 4 2 0 2 -2 0 -2 0.00 0.00
132 GUOYUAN FUTURES (HONG KONG) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2008-03-05
133 Haitong Futures Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-07 2022-06-29
134 HZ CAPITAL LIMITED (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2015-03-26 2024-06-07
135 Imperium International Asset Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-12-02
136 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
137 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
138 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
139 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
140 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
141 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
142 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
143 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
144 Soochow Securities International Futures Limited 2 3 5 1 1 2 -1 -2 -3 60.00 50.00 2012-08-27
145 TradeMaster Securities (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-08-01
146 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
147 WINNINGTON CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
148 Zhonghao International Investment Consulting Co., Limited 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-05-08
149 ZHONGRONG PT SECURITIES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-07-30
150 HANG SENG FUTURES LIMITED 2 6 8 1 0 1 -1 -6 -7 75.00 0.00 2017-11-17
151 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-12-02
152 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2006-05-23 2017-07-25
153 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2016-10-10
154 GRT Capital Management Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2013-12-11 2017-01-26
Average 2.61 6.10 8.71 2.61 5.95 8.56 70.03 69.53

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