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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2017-09-30 2018-09-30 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 15 202 217 18 205 223 3 3 6 93.09 91.93 2003-12-02
2 JPMorgan Asset Management (Asia Pacific) Limited 5 42 47 7 44 51 2 2 4 89.36 86.27
3 Morgan Stanley Asia Limited 5 43 48 7 39 46 2 -4 -2 89.58 84.78 2006-04-07
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 5 40 45 4 41 45 -1 1 0 88.89 91.11 2004-10-14
5 PHILLIP COMMODITIES (H.K.) LIMITED 3 43 46 3 40 43 0 -3 -3 93.48 93.02
6 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 27 29 2 31 33 0 4 4 93.10 93.94 2008-07-03
7 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 27 29 2 31 33 0 4 4 93.10 93.94
8 Manulife Investment Management (Hong Kong) Limited 5 32 37 4 28 32 -1 -4 -5 86.49 87.50
9 Standard Chartered Securities (Hong Kong) Limited 3 17 20 3 23 26 0 6 6 85.00 88.46 2012-12-17
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 17 22 7 12 19 2 -5 -3 77.27 63.16
11 HSBC Global Asset Management (Hong Kong) Limited 5 13 18 6 13 19 1 0 1 72.22 68.42
12 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 17 20 3 16 19 0 -1 -1 85.00 84.21
13 Yuanta Securities (Hong Kong) Company Limited 2 18 20 2 16 18 0 -2 -2 90.00 88.89 2012-06-14
14 BOCOM International Securities Limited 2 13 15 4 13 17 2 0 2 86.67 76.47 2007-09-10
15 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 12 18 5 11 16 -1 -1 -2 66.67 68.75
16 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 8 11 4 12 16 1 4 5 72.73 75.00
17 KGI FUTURES (HONG KONG) LIMITED 6 8 14 7 9 16 1 1 2 57.14 56.25
18 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 13 17 6 9 15 2 -4 -2 76.47 60.00
19 FULBRIGHT FUTURES LIMITED 2 7 9 3 11 14 1 4 5 77.78 78.57 2012-03-20
20 NATIXIS ASIA LIMITED 2 12 14 3 11 14 1 -1 0 85.71 78.57 2008-08-05
21 AllianceBernstein Hong Kong Limited 4 9 13 4 9 13 0 0 0 69.23 69.23
22 CES Capital International (Hong Kong) Co., Limited 3 9 12 3 10 13 0 1 1 75.00 76.92 2009-05-29 2023-02-23
23 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 9 13 5 8 13 1 -1 0 69.23 61.54
24 Oasis Management (Hong Kong) 3 10 13 3 10 13 0 0 0 76.92 76.92 2004-09-14
25 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 3 9 12 3 9 12 0 0 0 75.00 75.00 2015-06-01
26 AXA Investment Managers Chorus Limited 3 8 11 3 9 12 0 1 1 72.73 75.00 2017-03-02 2023-08-15
27 CHIEF COMMODITIES LIMITED 4 8 12 4 8 12 0 0 0 66.67 66.67 2006-05-17 2025-08-31
28 GET NICE FUTURES COMPANY LIMITED 3 8 11 3 9 12 0 1 1 72.73 75.00
29 SMBC Nikko Securities (Hong Kong) Limited 0 0 0 4 8 12 4 8 12 - 66.67 2017-11-07
30 DEUTSCHE SECURITIES ASIA LIMITED 3 14 17 3 8 11 0 -6 -6 82.35 72.73 2004-01-08 2020-02-04
31 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 3 8 11 1 6 7 50.00 72.73 2010-11-26
32 HAITONG INTERNATIONAL FUTURES LIMITED 2 4 6 4 7 11 2 3 5 66.67 63.64
33 SHACOM FUTURES LIMITED 3 4 7 3 8 11 0 4 4 57.14 72.73
34 Superactive Financial Group Company Limited 3 6 9 4 7 11 1 1 2 66.67 63.64 2015-06-12
35 YUE XIU FUTURES COMPANY LIMITED 1 7 8 4 7 11 3 0 3 87.50 63.64 2024-07-30
36 BOCI COMMODITIES & FUTURES LIMITED 2 7 9 3 7 10 1 0 1 77.78 70.00 2004-11-17
37 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 4 8 4 6 10 0 2 2 50.00 60.00 2014-06-25
38 Guosen Securities (HK) Brokerage Company, Limited 2 11 13 2 8 10 0 -3 -3 84.62 80.00 2011-03-14
39 ICBC Asset Management (Global) Company Limited 2 1 3 2 8 10 0 7 7 33.33 80.00
40 TFI Asset Management Limited 2 3 5 2 8 10 0 5 5 60.00 80.00 2014-03-10
41 EMPEROR FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67
42 Hafoo Futures Limited 0 0 0 2 7 9 2 7 9 - 77.78 2017-11-21
43 Merrill Lynch (Asia Pacific) Limited 2 4 6 4 5 9 2 1 3 66.67 55.56 2017-04-26
44 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 3 7 5 4 9 1 1 2 42.86 44.44 2017-02-22
45 Ark Futures (Hong Kong) Limited 3 3 6 3 5 8 0 2 2 50.00 62.50 2006-02-07
46 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 4 6 4 4 8 2 0 2 66.67 50.00 2011-04-26
47 GOLDMAN SACHS (ASIA) L.L.C. 4 5 9 5 3 8 1 -2 -1 55.56 37.50
48 MFG Limited (HK) 2 1 3 3 5 8 1 4 5 33.33 62.50 2010-05-24
49 OLD PEAK LIMITED (HK) 3 5 8 3 5 8 0 0 0 62.50 62.50 2005-08-26 2023-06-20
50 Ping An Securities (Hong Kong) Futures Company Limited 3 4 7 3 5 8 0 1 1 57.14 62.50 2012-03-30
51 Central China International Futures Company Limited 3 0 3 3 4 7 0 4 4 0.00 57.14 2017-08-29 2023-08-18
52 Credit Suisse (Hong Kong) Limited 3 0 3 2 5 7 -1 5 4 0.00 71.43 2008-11-04 2024-09-27
53 HGNH International Futures Co., Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2010-11-01
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 5 2 7 1 0 1 33.33 28.57
55 Lee Kee Store Company Limited 1 3 4 3 4 7 2 1 3 75.00 57.14 2016-10-18 2020-06-05
56 LT Finance Management Limited 3 1 4 2 5 7 -1 4 3 25.00 71.43 2013-08-26 2019-09-25
57 PO SANG SECURITIES LIMITED 6 1 7 6 1 7 0 0 0 14.29 14.29 2016-10-28 2022-05-31
58 TRADING CENTRAL ASIA LIMITED 2 2 4 4 3 7 2 1 3 50.00 42.86 2011-03-08
59 Well Link International Securities Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2012-10-04
60 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2011-02-15
61 Citigroup Global Markets Asia Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2013-01-09
62 Eddid Securities and Futures Limited 2 0 2 3 3 6 1 3 4 0.00 50.00 2017-09-19
63 HAMON ASSET MANAGEMENT LIMITED 3 4 7 4 2 6 1 -2 -1 57.14 33.33
64 PFP Capital Limited 3 5 8 4 2 6 1 -3 -2 62.50 33.33
65 SG SECURITIES (HK) LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2010-11-16
66 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 3 3 6 4 2 6 1 -1 0 50.00 33.33 2015-06-19
67 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2016-03-09
68 Blackwell Global Asset Management Limited 0 0 0 3 2 5 3 2 5 - 40.00 2018-01-15
69 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-12-12
70 CENTRAL WEALTH FUTURES LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2016-02-25 2023-04-06
71 CHEONG LEE SECURITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-08-27
72 China Securities (International) Brokerage Company Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2014-10-28
73 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
74 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2024-03-21
75 GUODU FUTURES (HONG KONG) LIMITED 0 3 3 2 3 5 2 0 2 100.00 60.00 2012-12-04
76 Hang Tai Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2017-05-25 2024-11-19
77 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2015-02-26
78 MIB FUTURES (HONG KONG) LIMITED 2 0 2 4 1 5 2 1 3 0.00 20.00 2011-03-25
79 OCP Asia (Hong Kong) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2004-09-03 2022-06-13
80 Rifa Asset Management Limited 0 0 0 3 2 5 3 2 5 - 40.00 2017-10-27
81 Sino-Rich Securities & Futures Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2012-06-21
82 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2017-02-13
83 Soochow Securities International Futures Limited 1 1 2 2 3 5 1 2 3 50.00 60.00 2012-08-27
84 VALUE PARTNERS HONG KONG LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00 2007-11-19
85 VALUE PARTNERS LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00
86 WING FUNG SECURITIES LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00 2017-09-21
87 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2012-02-24
88 Zinvest Global Limited 0 0 0 4 1 5 4 1 5 - 20.00 2018-03-28
89 AIF Securities Limited 1 1 2 2 2 4 1 1 2 50.00 50.00 2017-07-31
90 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
91 BOCI SECURITIES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2005-10-06
92 CHARLESWIN BULLION LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2017-09-06
93 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2013-06-03
94 CLC FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-10-29 2021-04-12
95 Duncan Futures Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2017-04-25
96 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00 2016-10-11
97 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 3 1 4 1 0 1 33.33 25.00 2020-06-02
98 ICBC (Asia) Futures Company Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2013-07-23 2021-08-04
99 INVESCO HONG KONG LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
100 INVESTPORT (H.K.) LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00 2016-08-29
101 MCG Management Limited 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2014-02-12
102 RC Futures Advisory Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-05-19
103 VC INTERNATIONAL TRADING LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2022-10-27
104 YUE XIU SECURITIES COMPANY LIMITED 1 0 1 4 0 4 3 0 3 0.00 0.00 2013-12-02
105 Zhonghao International Investment Consulting Co., Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2013-05-08
106 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
108 AP Capital Management (Hong Kong) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2017-08-10
109 BALLINGAL INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-08-13
110 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2024-03-13
111 Central Universe Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-10-28 2021-09-15
112 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
113 Changjiang Securities Brokerage (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2016-07-26
114 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2005-03-08 2022-03-16
115 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
116 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
117 Futu Securities International (HONG KONG) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2018-08-07
118 Grand Rich Group Holdings Limited (b2017-03-31) 0 0 0 2 1 3 2 1 3 - 33.33 2018-04-04 2023-06-14
119 Huatai (Hong Kong) Futures Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-09-14
120 HZ CAPITAL LIMITED (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2015-03-26 2024-06-07
121 Imperium International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
122 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
123 LIM ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2021-02-17
124 LONGRUN FINANCIAL GROUP LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-12-28
125 NFH Securities and Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2016-08-25 2025-06-13
126 SDHG International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
127 SDICS International Futures (Hong Kong) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-10-25
128 TradeMaster Securities (Hong Kong) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2017-08-01
129 Trinity Futures Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2017-08-07 2024-06-24
130 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
131 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
132 WINTON CAPITAL ASIA LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-09-18
133 YF ASSET MANAGEMENT LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67 2013-04-16
134 Zhong Yang Capital Limited 0 0 0 2 1 3 2 1 3 - 33.33 2018-02-05
135 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
136 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
137 Alternative Value Investments Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-11 2020-03-25
138 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
139 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2018-12-31
140 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
141 DA DI (HONG KONG) FINANCIAL SERVICES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2018-07-31 2024-01-15
142 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
143 FIL Investment Advisors 2 0 2 2 0 2 0 0 0 0.00 0.00
144 FIL Investment Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
145 Grand International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2017-10-03
146 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-03-05
147 Haitong Futures Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-07 2022-06-29
148 Imagi Brokerage Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-25
149 JINTIAN INTERNATIONAL SUPPLY CHAIN SERVICES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2018-04-26 2019-08-30
150 Lion Futures Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-12-29 2025-09-16
151 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
152 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
153 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
154 Rui Da International Finance Holding Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-31
155 THREE STONES CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2017-10-09 2020-08-06
156 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
157 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
158 ZHONGRONG PT SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-07-30
159 Annum Asset Management (Hong Kong) Limited 0 2 2 1 0 1 1 -2 -1 100.00 0.00 2013-12-24
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 2 1 3 0 0 0 -2 -1 -3 33.33 - 2018-09-21
163 Comity Limited (HK) 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-06-19 2018-09-19
164 GENERALI INVESTMENTS ASIA LIMITED 4 1 5 0 0 0 -4 -1 -5 20.00 - 2007-12-28 2018-09-26
165 HANG SENG FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2017-11-17
Average 2.61 5.99 8.59 2.99 6.06 9.05 69.67 66.92

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