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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2018-04-30 2019-04-30 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 20 200 220 18 203 221 -2 3 1 90.91 91.86 2003-12-02
2 JPMorgan Asset Management (Asia Pacific) Limited 5 44 49 7 44 51 2 0 2 89.80 86.27
3 Morgan Stanley Asia Limited 6 37 43 7 44 51 1 7 8 86.05 86.27 2006-04-07
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 42 46 4 46 50 0 4 4 91.30 92.00 2004-10-14
5 PHILLIP COMMODITIES (H.K.) LIMITED 3 43 46 3 39 42 0 -4 -4 93.48 92.86
6 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 28 31 2 33 35 -1 5 4 90.32 94.29 2008-07-03
7 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 28 31 2 33 35 -1 5 4 90.32 94.29
8 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 4 30 34 2 27 29 60.00 88.24 2010-11-26
9 Manulife Investment Management (Hong Kong) Limited 5 30 35 5 24 29 0 -6 -6 85.71 82.76
10 Standard Chartered Securities (Hong Kong) Limited 2 29 31 3 24 27 1 -5 -4 93.55 88.89 2012-12-17
11 HSBC Global Asset Management (Hong Kong) Limited 5 13 18 6 14 20 1 1 2 72.22 70.00
12 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 17 20 3 15 18 0 -2 -2 85.00 83.33
13 Yuanta Securities (Hong Kong) Company Limited 2 17 19 2 15 17 0 -2 -2 89.47 88.24 2012-06-14
14 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 12 18 5 11 16 -1 -1 -2 66.67 68.75
15 KGI FUTURES (HONG KONG) LIMITED 8 8 16 7 9 16 -1 1 0 50.00 56.25
16 SMBC Nikko Securities (Hong Kong) Limited 3 6 9 4 12 16 1 6 7 66.67 75.00 2017-11-07
17 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 10 15 5 10 15 0 0 0 66.67 66.67
18 HANG SENG INVESTMENT MANAGEMENT LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33
19 Oasis Management (Hong Kong) 3 12 15 3 12 15 0 0 0 80.00 80.00 2004-09-14
20 AllianceBernstein Hong Kong Limited 4 9 13 4 10 14 0 1 1 69.23 71.43
21 BOCOM International Securities Limited 2 13 15 4 10 14 2 -3 -1 86.67 71.43 2007-09-10
22 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 13 18 4 10 14 -1 -3 -4 72.22 71.43
23 FULBRIGHT FUTURES LIMITED 3 9 12 3 11 14 0 2 2 75.00 78.57 2012-03-20
24 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 4 7 11 3 10 13 -1 3 2 63.64 76.92 2015-06-01
25 CES Capital International (Hong Kong) Co., Limited 3 9 12 4 9 13 1 0 1 75.00 69.23 2009-05-29 2023-02-23
26 CHIEF COMMODITIES LIMITED 5 8 13 5 8 13 0 0 0 61.54 61.54 2006-05-17 2025-08-31
27 ICBC Asset Management (Global) Company Limited 2 1 3 2 11 13 0 10 10 33.33 84.62
28 Credit Suisse (Hong Kong) Limited 2 6 8 3 9 12 1 3 4 75.00 75.00 2008-11-04 2024-09-27
29 AXA Investment Managers Chorus Limited 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2017-03-02 2023-08-15
30 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 8 11 0 2 2 66.67 72.73 2004-11-17
31 DEUTSCHE SECURITIES ASIA LIMITED 5 10 15 2 9 11 -3 -1 -4 66.67 81.82 2004-01-08 2020-02-04
32 HAITONG INTERNATIONAL FUTURES LIMITED 2 7 9 4 7 11 2 0 2 77.78 63.64
33 TFI Asset Management Limited 2 5 7 2 9 11 0 4 4 71.43 81.82 2014-03-10
34 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 5 9 4 6 10 0 1 1 55.56 60.00 2014-06-25
35 GET NICE FUTURES COMPANY LIMITED 3 9 12 3 7 10 0 -2 -2 75.00 70.00
36 Guosen Securities (HK) Brokerage Company, Limited 2 11 13 3 7 10 1 -4 -3 84.62 70.00 2011-03-14
37 MFG Limited (HK) 2 1 3 4 6 10 2 5 7 33.33 60.00 2010-05-24
38 NATIXIS ASIA LIMITED 3 13 16 2 8 10 -1 -5 -6 81.25 80.00 2008-08-05
39 Superactive Financial Group Company Limited 4 5 9 4 6 10 0 1 1 55.56 60.00 2015-06-12
40 YUE XIU FUTURES COMPANY LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2024-07-30
41 China Securities (International) Brokerage Company Limited 4 2 6 3 6 9 -1 4 3 33.33 66.67 2014-10-28
42 EMPEROR FUTURES LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67
43 GOLDMAN SACHS (ASIA) L.L.C. 5 5 10 5 4 9 0 -1 -1 50.00 44.44
44 GUODU FUTURES (HONG KONG) LIMITED 1 3 4 2 7 9 1 4 5 75.00 77.78 2012-12-04
45 Hafoo Futures Limited 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2017-11-21
46 HGNH International Futures Co., Limited 3 5 8 3 6 9 0 1 1 62.50 66.67 2010-11-01
47 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 10 13 4 5 9 1 -5 -4 76.92 55.56
48 OLD PEAK LIMITED (HK) 3 5 8 3 6 9 0 1 1 62.50 66.67 2005-08-26 2023-06-20
49 SHACOM FUTURES LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67
50 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 4 8 5 4 9 1 0 1 50.00 44.44 2017-02-22
51 Merrill Lynch (Asia Pacific) Limited 3 6 9 4 4 8 1 -2 -1 66.67 50.00 2017-04-26
52 Central China International Futures Company Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2017-08-29 2023-08-18
53 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 5 9 4 3 7 0 -2 -2 55.56 42.86 2011-04-26
54 Eddid Securities and Futures Limited 3 0 3 3 4 7 0 4 4 0.00 57.14 2017-09-19
55 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 5 2 7 1 0 1 33.33 28.57
56 Ping An Securities (Hong Kong) Futures Company Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2012-03-30
57 Sino-Rich Securities & Futures Limited 2 2 4 2 5 7 0 3 3 50.00 71.43 2012-06-21
58 TRADING CENTRAL ASIA LIMITED 2 2 4 5 2 7 3 0 3 50.00 28.57 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 XUANTIE INTERNATIONAL INVESTMENT CO., LIMITED 0 0 0 2 5 7 2 5 7 - 71.43 2019-01-03 2020-11-04
61 Blackwell Global Asset Management Limited 1 0 1 3 3 6 2 3 5 0.00 50.00 2018-01-15
62 Citigroup Global Markets Asia Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2013-01-09
63 HAMON ASSET MANAGEMENT LIMITED 4 4 8 4 2 6 0 -2 -2 50.00 33.33
64 LUK FOOK FUTURES (HK) LIMITED 3 1 4 3 3 6 0 2 2 25.00 50.00 2015-02-26
65 MCG Management Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2014-02-12
66 PFP Capital Limited 4 4 8 4 2 6 0 -2 -2 50.00 33.33
67 PO SANG SECURITIES LIMITED 6 1 7 5 1 6 -1 0 -1 14.29 16.67 2016-10-28 2022-05-31
68 VALUE PARTNERS HONG KONG LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2007-11-19
69 VALUE PARTNERS LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33
70 Ark Futures (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2006-02-07
71 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2011-02-15
72 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-12-12
73 Central Universe Futures Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2013-10-28 2021-09-15
74 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
75 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2024-03-21
76 MIB FUTURES (HONG KONG) LIMITED 2 0 2 4 1 5 2 1 3 0.00 20.00 2011-03-25
77 Minmetals Financial Services Limited 0 0 0 3 2 5 3 2 5 - 40.00 2018-10-08
78 OCP Asia (Hong Kong) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2004-09-03 2022-06-13
79 SG SECURITIES (HK) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2010-11-16
80 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2015-06-19
81 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2017-02-13
82 WING FUNG SECURITIES LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2017-09-21
83 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2012-02-24
84 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2016-03-09
85 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
86 AP Capital Management (Hong Kong) Limited 3 1 4 2 2 4 -1 1 0 25.00 50.00 2017-08-10
87 CHARLESWIN BULLION LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2017-09-06
88 CHEONG LEE SECURITIES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2009-08-27
89 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2013-06-03
90 Duncan Futures Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2017-04-25
91 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2016-10-11
92 Grand Rich Group Holdings Limited (b2017-03-31) 2 0 2 2 2 4 0 2 2 0.00 50.00 2018-04-04 2023-06-14
93 Hang Tai Asset Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2017-05-25 2024-11-19
94 HSBC Global Asset Management Holdings (Bahamas) Limited 2 1 3 3 1 4 1 0 1 33.33 25.00 2020-06-02
95 ICBC (Asia) Futures Company Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2013-07-23 2021-08-04
96 RC Futures Advisory Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-05-19
97 Rifa Asset Management Limited 4 2 6 3 1 4 -1 -1 -2 33.33 25.00 2017-10-27
98 YUE XIU SECURITIES COMPANY LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2013-12-02
99 Zhong Yang Capital Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2018-02-05
100 Zhonghao International Investment Consulting Co., Limited 3 0 3 3 1 4 0 1 1 0.00 25.00 2013-05-08
101 Zinvest Global Limited 4 0 4 3 1 4 -1 1 0 0.00 25.00 2018-03-28
102 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00
103 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
104 AIF Securities Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2017-07-31
105 BALLINGAL INVESTMENT ADVISORS LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2004-08-13
106 BOCI SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2005-10-06
107 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2024-03-13
108 CENTRAL WEALTH FUTURES LIMITED 2 4 6 1 2 3 -1 -2 -3 66.67 66.67 2016-02-25 2023-04-06
109 Changjiang Futures (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-02-13 2024-10-25
110 Changjiang Securities Brokerage (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-07-26
111 CLC FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-10-29 2021-04-12
112 DA DI (HONG KONG) FINANCIAL SERVICES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2018-07-31 2024-01-15
113 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2005-03-08 2022-03-16
114 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
115 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
116 Futu Securities International (HONG KONG) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2018-08-07
117 Grand International Futures Co., Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2017-10-03
118 Huatai (Hong Kong) Futures Limited 4 0 4 2 1 3 -2 1 -1 0.00 33.33 2016-09-14
119 Imperium International Asset Management Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2008-12-02
120 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
121 INVESTPORT (H.K.) LIMITED 3 2 5 3 0 3 0 -2 -2 40.00 0.00 2016-08-29
122 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
123 JMC Capital International Limited 0 0 0 2 1 3 2 1 3 - 33.33 2019-01-31
124 Lee Kee Store Company Limited 3 4 7 2 1 3 -1 -3 -4 57.14 33.33 2016-10-18 2020-06-05
125 LIM ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2021-02-17
126 NFH Securities and Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-08-25 2025-06-13
127 SDHG International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
128 SDICS International Futures (Hong Kong) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-10-25
129 Soochow Securities International Futures Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-08-27
130 Topaz Financial Group Limited 0 0 0 3 0 3 3 0 3 - 0.00 2019-04-25
131 TradeMaster Securities (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2017-08-01
132 Trinity Futures Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2017-08-07 2024-06-24
133 Tyric Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-13
134 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
135 VC INTERNATIONAL TRADING LIMITED 1 1 2 3 0 3 2 -1 1 50.00 0.00 2022-10-27
136 WINTON CAPITAL ASIA LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-09-18
137 YF ASSET MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2013-04-16
138 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
139 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
140 Alternative Value Investments Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-11 2020-03-25
141 Annum Asset Management (Hong Kong) Limited 1 1 2 2 0 2 1 -1 0 50.00 0.00 2013-12-24
142 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
143 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2018-12-31
144 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2019-01-01 2020-09-10
145 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
146 FIL Investment Advisors 2 0 2 2 0 2 0 0 0 0.00 0.00
147 FIL Investment Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
148 FORTHRIGHT SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2019-03-27
149 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-03-05
150 Haitong Futures Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-07 2022-06-29
151 Huntersay Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2019-01-29 2021-02-25
152 Imagi Brokerage Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-25
153 KVB Kunlun Securities (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2019-03-26 2020-12-14
154 Lion Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-29 2025-09-16
155 LONGRUN FINANCIAL GROUP LIMITED 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2016-12-28
156 LT Finance Management Limited 1 3 4 2 0 2 1 -3 -2 75.00 0.00 2013-08-26 2019-09-25
157 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
158 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
159 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
160 Rui Da International Finance Holding Limited 0 0 0 2 0 2 2 0 2 - 0.00 2018-05-31
161 THREE STONES CAPITAL LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2017-10-09 2020-08-06
162 Vanhau Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2019-01-07 2020-12-15
163 WANEXE SECURITIES (HK) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2019-04-10 2020-03-26
164 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
165 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
166 XIN HUA SECURITIES (HONG KONG) LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2016-10-18 2024-08-22
167 ZHONGRONG PT SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-07-30
168 DELTA ASIA FINANCIAL FUTURES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
169 HZ CAPITAL LIMITED (HK) 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2015-03-26 2024-06-07
170 JINTIAN INTERNATIONAL SUPPLY CHAIN SERVICES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2018-04-26 2019-08-30
171 BREVAN HOWARD (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-03-12 2018-05-11
172 Comity Limited (HK) 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-06-19 2018-09-19
173 GENERALI INVESTMENTS ASIA LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2007-12-28 2018-09-26
Average 2.84 5.93 8.78 2.90 5.91 8.81 67.59 67.07

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top