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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2017-04-30 2018-04-30 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 13 190 203 20 200 220 7 10 17 93.60 90.91 2003-12-02
2 JPMorgan Asset Management (Asia Pacific) Limited 5 40 45 5 44 49 0 4 4 88.89 89.80
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 46 49 3 43 46 0 -3 -3 93.88 93.48
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 5 38 43 4 42 46 -1 4 3 88.37 91.30 2004-10-14
5 Morgan Stanley Asia Limited 6 27 33 6 37 43 0 10 10 81.82 86.05 2006-04-07
6 Manulife Investment Management (Hong Kong) Limited 5 34 39 5 30 35 0 -4 -4 87.18 85.71
7 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 21 23 3 28 31 1 7 8 91.30 90.32 2008-07-03
8 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 21 23 3 28 31 1 7 8 91.30 90.32
9 Standard Chartered Securities (Hong Kong) Limited 3 14 17 2 29 31 -1 15 14 82.35 93.55 2012-12-17
10 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 20 24 3 17 20 -1 -3 -4 83.33 85.00
11 Yuanta Securities (Hong Kong) Company Limited 2 21 23 2 17 19 0 -4 -4 91.30 89.47 2012-06-14
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 6 12 18 0 -1 -1 68.42 66.67
13 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 20 24 5 13 18 1 -7 -6 83.33 72.22
14 HSBC Global Asset Management (Hong Kong) Limited 5 14 19 5 13 18 0 -1 -1 73.68 72.22
15 KGI FUTURES (HONG KONG) LIMITED 6 7 13 8 8 16 2 1 3 53.85 50.00
16 NATIXIS ASIA LIMITED 2 11 13 3 13 16 1 2 3 84.62 81.25 2008-08-05
17 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 13 17 5 10 15 1 -3 -2 76.47 66.67
18 BOCOM International Securities Limited 2 13 15 2 13 15 0 0 0 86.67 86.67 2007-09-10
19 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 5 10 15 2 7 9 50.00 66.67 2004-01-08 2020-02-04
20 Oasis Management (Hong Kong) 3 9 12 3 12 15 0 3 3 75.00 80.00 2004-09-14
21 HANG SENG INVESTMENT MANAGEMENT LIMITED 4 8 12 4 10 14 0 2 2 66.67 71.43
22 AllianceBernstein Hong Kong Limited 4 10 14 4 9 13 0 -1 -1 71.43 69.23
23 CHIEF COMMODITIES LIMITED 3 8 11 5 8 13 2 0 2 72.73 61.54 2006-05-17 2025-08-31
24 Guosen Securities (HK) Brokerage Company, Limited 2 12 14 2 11 13 0 -1 -1 85.71 84.62 2011-03-14
25 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 7 12 3 10 13 -2 3 1 58.33 76.92
26 AXA Investment Managers Chorus Limited 3 0 3 3 9 12 0 9 9 0.00 75.00 2017-03-02 2023-08-15
27 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
28 FULBRIGHT FUTURES LIMITED 2 7 9 3 9 12 1 2 3 77.78 75.00 2012-03-20
29 GET NICE FUTURES COMPANY LIMITED 3 9 12 3 9 12 0 0 0 75.00 75.00
30 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 7 10 4 7 11 1 0 1 70.00 63.64 2015-06-01
31 YUE XIU FUTURES COMPANY LIMITED 2 10 12 3 8 11 1 -2 -1 83.33 72.73 2024-07-30
32 GOLDMAN SACHS (ASIA) L.L.C. 3 4 7 5 5 10 2 1 3 57.14 50.00
33 Hafoo Futures Limited 0 0 0 2 8 10 2 8 10 - 80.00 2017-11-21
34 BOCI COMMODITIES & FUTURES LIMITED 2 7 9 3 6 9 1 -1 0 77.78 66.67 2004-11-17
35 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 4 5 9 2 2 4 60.00 55.56 2011-04-26
36 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 3 7 4 5 9 0 2 2 42.86 55.56 2014-06-25
37 EMPEROR FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67
38 HAITONG INTERNATIONAL FUTURES LIMITED 2 6 8 2 7 9 0 1 1 75.00 77.78
39 Merrill Lynch (Asia Pacific) Limited 2 0 2 3 6 9 1 6 7 0.00 66.67 2017-04-26
40 SMBC Nikko Securities (Hong Kong) Limited 0 0 0 3 6 9 3 6 9 - 66.67 2017-11-07
41 Superactive Financial Group Company Limited 2 6 8 4 5 9 2 -1 1 75.00 55.56 2015-06-12
42 Central China International Futures Company Limited 0 0 0 3 5 8 3 5 8 - 62.50 2017-08-29 2023-08-18
43 Credit Suisse (Hong Kong) Limited 3 0 3 2 6 8 -1 6 5 0.00 75.00 2008-11-04 2024-09-27
44 HAMON ASSET MANAGEMENT LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00
45 HGNH International Futures Co., Limited 3 2 5 3 5 8 0 3 3 40.00 62.50 2010-11-01
46 OLD PEAK LIMITED (HK) 3 5 8 3 5 8 0 0 0 62.50 62.50 2005-08-26 2023-06-20
47 PFP Capital Limited 4 4 8 4 4 8 0 0 0 50.00 50.00
48 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 2 6 4 4 8 0 2 2 33.33 50.00 2017-02-22
49 Lee Kee Store Company Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2016-10-18 2020-06-05
50 LONGRUN FINANCIAL GROUP LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2016-12-28
51 PO SANG SECURITIES LIMITED 6 1 7 6 1 7 0 0 0 14.29 14.29 2016-10-28 2022-05-31
52 SG SECURITIES (HK) LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2010-11-16
53 SHACOM FUTURES LIMITED 2 0 2 3 4 7 1 4 5 0.00 57.14
54 TFI Asset Management Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2014-03-10
55 Well Link International Securities Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2012-10-04
56 Ark Futures (Hong Kong) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2006-02-07
57 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2011-02-15
58 CENTRAL WEALTH FUTURES LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2016-02-25 2023-04-06
59 China Securities (International) Brokerage Company Limited 3 5 8 4 2 6 1 -3 -2 62.50 33.33 2014-10-28
60 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2024-03-21
61 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33
62 MCG Management Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67 2014-02-12
63 Ping An Securities (Hong Kong) Futures Company Limited 2 3 5 3 3 6 1 0 1 60.00 50.00 2012-03-30
64 Rifa Asset Management Limited 0 0 0 4 2 6 4 2 6 - 33.33 2017-10-27
65 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00 2016-03-09
66 BTL ASSET MANAGEMENT COMPANY LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2016-12-12
67 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
68 Citigroup Global Markets Asia Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2013-01-09
69 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
70 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2016-10-11
71 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
72 INVESTPORT (H.K.) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2016-08-29
73 OCP Asia (Hong Kong) Limited 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2004-09-03 2022-06-13
74 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2015-06-19
75 VALUE PARTNERS HONG KONG LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00 2007-11-19
76 VALUE PARTNERS LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00
77 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
78 AP Capital Management (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2017-08-10
79 BOCI SECURITIES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2005-10-06
80 CHARLESWIN BULLION LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2017-09-06
81 CLC FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-10-29 2021-04-12
82 Duncan Futures Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2017-04-25
83 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
84 GUODU FUTURES (HONG KONG) LIMITED 1 5 6 1 3 4 0 -2 -2 83.33 75.00 2012-12-04
85 Hang Tai Asset Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2017-05-25 2024-11-19
86 Huatai (Hong Kong) Futures Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2016-09-14
87 ICBC (Asia) Futures Company Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2013-07-23 2021-08-04
88 Imperium International Asset Management Limited 2 1 3 4 0 4 2 -1 1 33.33 0.00 2008-12-02
89 LT Finance Management Limited 2 2 4 1 3 4 -1 1 0 50.00 75.00 2013-08-26 2019-09-25
90 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
91 RC Futures Advisory Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2010-05-19
92 Sino-Rich Securities & Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-06-21
93 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2017-02-13
94 Soochow Securities International Futures Limited 1 1 2 2 2 4 1 1 2 50.00 50.00 2012-08-27
95 TRADING CENTRAL ASIA LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2011-03-08
96 WING FUNG SECURITIES LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2017-09-21
97 WINTON CAPITAL ASIA LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2014-09-18
98 Zinvest Global Limited 0 0 0 4 0 4 4 0 4 - 0.00 2018-03-28
99 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
101 AIF Securities Limited 0 0 0 2 1 3 2 1 3 - 33.33 2017-07-31
102 BALLINGAL INVESTMENT ADVISORS LIMITED 1 3 4 2 1 3 1 -2 -1 75.00 33.33 2004-08-13
103 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 4 6 2 1 3 0 -3 -3 66.67 33.33 2018-12-31
104 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2024-03-13
105 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
106 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
107 Changjiang Securities Brokerage (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2016-07-26
108 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-06-03
109 Eddid Securities and Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-09-19
110 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
111 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
112 ICBC Asset Management (Global) Company Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
113 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
114 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
115 LIM ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2021-02-17
116 MFG Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-05-24
117 NFH Securities and Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2016-08-25 2025-06-13
118 SDICS International Futures (Hong Kong) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-10-25
119 THREE STONES CAPITAL LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2017-10-09 2020-08-06
120 TradeMaster Securities (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2017-08-01
121 Trinity Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-08-07 2024-06-24
122 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
123 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
124 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
125 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-12-02
126 Zhong Yang Capital Limited 0 0 0 3 0 3 3 0 3 - 0.00 2018-02-05
127 Zhonghao International Investment Consulting Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-05-08
128 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
129 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
130 Alternative Value Investments Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-11 2020-03-25
131 Annum Asset Management (Hong Kong) Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-24
132 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
133 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-03-12 2018-05-11
134 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
135 Comity Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2017-06-19 2018-09-19
136 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
137 FIL Investment Advisors 4 0 4 2 0 2 -2 0 -2 0.00 0.00
138 FIL Investment Management (Hong Kong) Limited 4 0 4 2 0 2 -2 0 -2 0.00 0.00
139 Grand International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-10-03
140 Grand Rich Group Holdings Limited (b2017-03-31) 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-04 2023-06-14
141 GUOYUAN FUTURES (HONG KONG) LIMITED 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2008-03-05
142 Haitong Futures Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-07 2022-06-29
143 HZ CAPITAL LIMITED (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-03-26 2024-06-07
144 JINTIAN INTERNATIONAL SUPPLY CHAIN SERVICES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-26 2019-08-30
145 Lion Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-29 2025-09-16
146 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
147 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
148 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
149 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
150 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
151 VC INTERNATIONAL TRADING LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2022-10-27
152 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
153 WINNINGTON CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
154 XIN HUA SECURITIES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-10-18 2024-08-22
155 YF ASSET MANAGEMENT LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2013-04-16
156 ZHONGRONG PT SECURITIES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-07-30
157 Blackwell Global Asset Management Limited 0 0 0 1 0 1 1 0 1 - 0.00 2018-01-15
158 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
159 GENERALI INVESTMENTS ASIA LIMITED 4 1 5 1 0 1 -3 -1 -4 20.00 0.00 2007-12-28 2018-09-26
160 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2018-09-21
161 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2006-05-23 2017-07-25
162 HANG SENG FUTURES LIMITED 4 5 9 0 0 0 -4 -5 -9 55.56 - 2017-11-17
Average 2.70 5.99 8.69 2.85 5.96 8.81 68.90 67.67

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