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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2017-06-30 2018-06-30 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 13 194 207 18 198 216 5 4 9 93.72 91.67 2003-12-02
2 JPMorgan Asset Management (Asia Pacific) Limited 5 40 45 6 43 49 1 3 4 88.89 87.76
3 Morgan Stanley Asia Limited 6 37 43 7 38 45 1 1 2 86.05 84.44 2006-04-07
4 PHILLIP COMMODITIES (H.K.) LIMITED 3 45 48 3 42 45 0 -3 -3 93.75 93.33
5 RBC INVESTMENT SERVICES (ASIA) LIMITED 5 41 46 4 41 45 -1 0 -1 89.13 91.11 2004-10-14
6 Manulife Investment Management (Hong Kong) Limited 5 32 37 5 28 33 0 -4 -4 86.49 84.85
7 Standard Chartered Securities (Hong Kong) Limited 3 14 17 2 28 30 -1 14 13 82.35 93.33 2012-12-17
8 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 20 22 3 26 29 1 6 7 90.91 89.66 2008-07-03
9 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 20 22 3 26 29 1 6 7 90.91 89.66
10 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 19 22 3 16 19 0 -3 -3 86.36 84.21
11 Yuanta Securities (Hong Kong) Company Limited 2 21 23 2 17 19 0 -4 -4 91.30 89.47 2012-06-14
12 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 18 23 7 11 18 2 -7 -5 78.26 61.11
13 HSBC Global Asset Management (Hong Kong) Limited 5 13 18 5 13 18 0 0 0 72.22 72.22
14 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 13 19 5 12 17 -1 -1 -2 68.42 70.59
15 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 13 17 5 10 15 1 -3 -2 76.47 66.67
16 BOCOM International Securities Limited 2 13 15 3 12 15 1 -1 0 86.67 80.00 2007-09-10
17 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 8 11 4 11 15 1 3 4 72.73 73.33
18 KGI FUTURES (HONG KONG) LIMITED 6 7 13 7 8 15 1 1 2 53.85 53.33
19 NATIXIS ASIA LIMITED 2 13 15 3 12 15 1 -1 0 86.67 80.00 2008-08-05
20 AllianceBernstein Hong Kong Limited 4 11 15 4 9 13 0 -2 -2 73.33 69.23
21 CES Capital International (Hong Kong) Co., Limited 2 9 11 3 10 13 1 1 2 81.82 76.92 2009-05-29 2023-02-23
22 CHIEF COMMODITIES LIMITED 3 8 11 5 8 13 2 0 2 72.73 61.54 2006-05-17 2025-08-31
23 DEUTSCHE SECURITIES ASIA LIMITED 3 9 12 4 9 13 1 0 1 75.00 69.23 2004-01-08 2020-02-04
24 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 7 12 4 9 13 -1 2 1 58.33 69.23
25 Oasis Management (Hong Kong) 3 10 13 3 10 13 0 0 0 76.92 76.92 2004-09-14
26 SMBC Nikko Securities (Hong Kong) Limited 0 0 0 4 9 13 4 9 13 - 69.23 2017-11-07
27 AXA Investment Managers Chorus Limited 3 5 8 3 9 12 0 4 4 62.50 75.00 2017-03-02 2023-08-15
28 FULBRIGHT FUTURES LIMITED 2 7 9 2 10 12 0 3 3 77.78 83.33 2012-03-20
29 GET NICE FUTURES COMPANY LIMITED 3 8 11 3 9 12 0 1 1 72.73 75.00
30 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 8 11 3 8 11 0 0 0 72.73 72.73 2015-06-01
31 Guosen Securities (HK) Brokerage Company, Limited 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2011-03-14
32 GOLDMAN SACHS (ASIA) L.L.C. 3 4 7 5 5 10 2 1 3 57.14 50.00
33 HAITONG INTERNATIONAL FUTURES LIMITED 2 6 8 3 7 10 1 1 2 75.00 70.00
34 Merrill Lynch (Asia Pacific) Limited 2 1 3 4 6 10 2 5 7 33.33 60.00 2017-04-26
35 Superactive Financial Group Company Limited 2 6 8 4 6 10 2 0 2 75.00 60.00 2015-06-12
36 YUE XIU FUTURES COMPANY LIMITED 2 8 10 3 7 10 1 -1 0 80.00 70.00 2024-07-30
37 BOCI COMMODITIES & FUTURES LIMITED 2 7 9 3 6 9 1 -1 0 77.78 66.67 2004-11-17
38 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 4 8 4 5 9 0 1 1 50.00 55.56 2014-06-25
39 EMPEROR FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67
40 Hafoo Futures Limited 0 0 0 2 7 9 2 7 9 - 77.78 2017-11-21
41 TFI Asset Management Limited 2 3 5 2 7 9 0 4 4 60.00 77.78 2014-03-10
42 Ark Futures (Hong Kong) Limited 3 3 6 3 5 8 0 2 2 50.00 62.50 2006-02-07
43 Central China International Futures Company Limited 0 0 0 3 5 8 3 5 8 - 62.50 2017-08-29 2023-08-18
44 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 3 5 4 4 8 2 1 3 60.00 50.00 2011-04-26
45 Credit Suisse (Hong Kong) Limited 3 0 3 2 6 8 -1 6 5 0.00 75.00 2008-11-04 2024-09-27
46 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 6 8 0 3 3 60.00 75.00 2010-11-26
47 HGNH International Futures Co., Limited 3 2 5 3 5 8 0 3 3 40.00 62.50 2010-11-01
48 OLD PEAK LIMITED (HK) 3 5 8 3 5 8 0 0 0 62.50 62.50 2005-08-26 2023-06-20
49 Ping An Securities (Hong Kong) Futures Company Limited 3 4 7 3 5 8 0 1 1 57.14 62.50 2012-03-30
50 SHACOM FUTURES LIMITED 2 0 2 3 5 8 1 5 6 0.00 62.50
51 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00 2017-02-22
52 HAMON ASSET MANAGEMENT LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86
53 Lee Kee Store Company Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2016-10-18 2020-06-05
54 PFP Capital Limited 4 4 8 4 3 7 0 -1 -1 50.00 42.86
55 PO SANG SECURITIES LIMITED 6 1 7 6 1 7 0 0 0 14.29 14.29 2016-10-28 2022-05-31
56 SG SECURITIES (HK) LIMITED 3 2 5 5 2 7 2 0 2 40.00 28.57 2010-11-16
57 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 3 1 4 4 3 7 1 2 3 25.00 42.86 2015-06-19
58 Well Link International Securities Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2012-10-04
59 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2011-02-15
60 China Securities (International) Brokerage Company Limited 3 5 8 4 2 6 1 -3 -2 62.50 33.33 2014-10-28
61 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2024-03-21
62 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33
63 LONGRUN FINANCIAL GROUP LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2016-12-28
64 MCG Management Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67 2014-02-12
65 Rifa Asset Management Limited 0 0 0 4 2 6 4 2 6 - 33.33 2017-10-27
66 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00 2016-03-09
67 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-12-12
68 CENTRAL WEALTH FUTURES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2016-02-25 2023-04-06
69 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
70 Citigroup Global Markets Asia Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2013-01-09
71 Duncan Futures Limited 2 0 2 3 2 5 1 2 3 0.00 40.00 2017-04-25
72 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
73 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2016-10-11
74 GUODU FUTURES (HONG KONG) LIMITED 0 4 4 2 3 5 2 -1 1 100.00 60.00 2012-12-04
75 INVESTPORT (H.K.) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2016-08-29
76 LT Finance Management Limited 3 1 4 2 3 5 -1 2 1 25.00 60.00 2013-08-26 2019-09-25
77 OCP Asia (Hong Kong) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2004-09-03 2022-06-13
78 Sino-Rich Securities & Futures Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2012-06-21
79 Soochow Securities International Futures Limited 1 1 2 3 2 5 2 1 3 50.00 40.00 2012-08-27
80 TRADING CENTRAL ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2011-03-08
81 VALUE PARTNERS HONG KONG LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00 2007-11-19
82 VALUE PARTNERS LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00
83 WING FUNG SECURITIES LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2017-09-21
84 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
85 AP Capital Management (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2017-08-10
86 BOCI SECURITIES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2005-10-06
87 Central Universe Futures Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-10-28 2021-09-15
88 CHARLESWIN BULLION LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2017-09-06
89 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2013-06-03
90 CLC FUTURES LIMITED 1 0 1 2 2 4 1 2 3 0.00 50.00 2014-10-29 2021-04-12
91 Eddid Securities and Futures Limited 0 0 0 3 1 4 3 1 4 - 25.00 2017-09-19
92 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
93 Hang Tai Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2017-05-25 2024-11-19
94 Huatai (Hong Kong) Futures Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2016-09-14
95 ICBC (Asia) Futures Company Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2013-07-23 2021-08-04
96 ICBC Asset Management (Global) Company Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
97 Imperium International Asset Management Limited 2 1 3 4 0 4 2 -1 1 33.33 0.00 2008-12-02
98 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2015-02-26
99 RC Futures Advisory Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2010-05-19
100 YUANTA FUTURES (HK) CO., LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-02-24
101 Zinvest Global Limited 0 0 0 4 0 4 4 0 4 - 0.00 2018-03-28
102 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
104 AIF Securities Limited 0 0 0 3 0 3 3 0 3 - 0.00 2017-07-31
105 BALLINGAL INVESTMENT ADVISORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-08-13
106 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2024-03-13
107 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
108 Changjiang Securities Brokerage (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2016-07-26
109 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
110 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-06-02
111 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
112 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
113 LIM ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2021-02-17
114 MFG Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-05-24
115 NFH Securities and Futures Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2016-08-25 2025-06-13
116 SDHG International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
117 SDICS International Futures (Hong Kong) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-10-25
118 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2017-02-13
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 WINTON CAPITAL ASIA LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2014-09-18
125 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-12-02
126 Zhonghao International Investment Consulting Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-05-08
127 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
128 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
129 Alternative Value Investments Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-11 2020-03-25
130 Annum Asset Management (Hong Kong) Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2013-12-24
131 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
132 Blackwell Global Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-01-15
133 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 4 6 2 0 2 0 -4 -4 66.67 0.00 2018-12-31
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) 2 0 2 2 0 2 0 0 0 0.00 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 3 0 3 2 0 2 -1 0 -1 0.00 0.00
138 FIL Investment Management (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 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 3 0 3 2 0 2 -1 0 -1 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 Imagi Brokerage Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-25
145 JINTIAN INTERNATIONAL SUPPLY CHAIN SERVICES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-26 2019-08-30
146 Lion Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-29 2025-09-16
147 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
148 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
149 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
150 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
151 Rui Da International Finance Holding Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-31
152 VC INTERNATIONAL TRADING LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2022-10-27
153 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
154 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
155 YF ASSET MANAGEMENT LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2013-04-16
156 Zhong Yang Capital Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-02-05
157 ZHONGRONG PT SECURITIES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-07-30
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 XIN HUA SECURITIES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2016-10-18 2024-08-22
161 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2008-03-12 2018-05-11
162 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2018-09-21
163 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2006-05-23 2017-07-25
164 HANG SENG FUTURES LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2017-11-17
Average 2.65 6.02 8.67 2.91 5.87 8.78 69.44 66.83

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