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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2023-06-30 2024-06-30 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 13 185 198 0 -9 -9 93.72 93.43 2003-12-02
2 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 4 70 74 2 68 70 -2 -2 -4 94.59 97.14 2010-11-26
3 Morgan Stanley Asia Limited 6 53 59 10 55 65 4 2 6 89.83 84.62 2006-04-07
4 JPMorgan Asset Management (Asia Pacific) Limited 6 45 51 5 49 54 -1 4 3 88.24 90.74
5 BOCI SECURITIES LIMITED 4 8 12 3 41 44 -1 33 32 66.67 93.18 2005-10-06
6 Futu Securities International (HONG KONG) Limited 5 14 19 5 26 31 0 12 12 73.68 83.87 2018-08-07
7 PHILLIP COMMODITIES (H.K.) LIMITED 3 28 31 4 24 28 1 -4 -3 90.32 85.71
8 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 25 28 3 23 26 0 -2 -2 89.29 88.46 2008-07-03
9 Manulife Investment Management (Hong Kong) Limited 7 21 28 6 20 26 -1 -1 -2 75.00 76.92
10 HSBC Global Asset Management (Hong Kong) Limited 6 17 23 5 19 24 -1 2 1 73.91 79.17
11 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 20 23 2 18 20 -1 -2 -3 86.96 90.00
12 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 13 16 3 17 20 0 4 4 81.25 85.00
13 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 20 22 2 18 20 0 -2 -2 90.91 90.00 2004-10-14
14 SHACOM FUTURES LIMITED 3 15 18 3 15 18 0 0 0 83.33 83.33
15 Oasis Management (Hong Kong) 4 15 19 4 13 17 0 -2 -2 78.95 76.47 2004-09-14
16 AllianceBernstein Hong Kong Limited 3 10 13 3 12 15 0 2 2 76.92 80.00
17 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 12 15 3 12 15 0 0 0 80.00 80.00 2016-03-09
18 China Securities (International) Brokerage Company Limited 3 9 12 3 11 14 0 2 2 75.00 78.57 2014-10-28
19 COFCO Futures (International) Co., Limited 3 1 4 3 11 14 0 10 10 25.00 78.57 2020-03-16
20 FULBRIGHT FUTURES LIMITED 4 10 14 4 10 14 0 0 0 71.43 71.43 2012-03-20
21 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 9 13 4 10 14 0 1 1 69.23 71.43
22 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 4 9 13 4 9 13 0 0 0 69.23 69.23 2015-06-01
23 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 8 12 5 8 13 1 0 1 66.67 61.54 2014-06-25
24 EMPEROR FUTURES LIMITED 6 7 13 6 7 13 0 0 0 53.85 53.85
25 BOCOM International Securities Limited 5 10 15 3 9 12 -2 -1 -3 66.67 75.00 2007-09-10
26 SMBC Nikko Securities (Hong Kong) Limited 3 9 12 4 8 12 1 -1 0 75.00 66.67 2017-11-07
27 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 5 11 6 5 11 0 0 0 45.45 45.45
28 HAITONG INTERNATIONAL FUTURES LIMITED 3 2 5 4 7 11 1 5 6 40.00 63.64
29 KGI FUTURES (HONG KONG) LIMITED 5 7 12 5 6 11 0 -1 -1 58.33 54.55
30 Merrill Lynch (Asia Pacific) Limited 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2017-04-26
31 SINOPAC SECURITIES (ASIA) LIMITED 4 2 6 3 8 11 -1 6 5 33.33 72.73 2017-02-13
32 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
33 CHIEF COMMODITIES LIMITED 5 5 10 4 6 10 -1 1 0 50.00 60.00 2006-05-17 2025-08-31
34 GET NICE FUTURES COMPANY LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
35 Huaan Securities (Hong Kong) Futures Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2021-11-17
36 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 5 8 13 5 5 10 0 -3 -3 61.54 50.00 2015-06-19
37 TFI Asset Management Limited 3 5 8 4 6 10 1 1 2 62.50 60.00 2014-03-10
38 Yuanta Securities (Hong Kong) Company Limited 3 11 14 2 8 10 -1 -3 -4 78.57 80.00 2012-06-14
39 ENHANCED INVESTMENT PRODUCTS LIMITED 2 6 8 3 6 9 1 0 1 75.00 66.67
40 Hafoo Futures Limited 2 8 10 3 6 9 1 -2 -1 80.00 66.67 2017-11-21
41 HGNH International Futures Co., Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2010-11-01
42 JMC Capital International Limited 2 6 8 3 6 9 1 0 1 75.00 66.67 2019-01-31
43 Legend Arb Advisors Limited 3 2 5 3 6 9 0 4 4 40.00 66.67 2019-07-19
44 Eddid Securities and Futures Limited 6 3 9 4 4 8 -2 1 -1 33.33 50.00 2017-09-19
45 ICBC Asset Management (Global) Company Limited 2 9 11 4 4 8 2 -5 -3 81.82 50.00
46 BOCI COMMODITIES & FUTURES LIMITED 4 6 10 2 5 7 -2 -1 -3 60.00 71.43 2004-11-17
47 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 7 2 9 6 1 7 -1 -1 -2 22.22 14.29 2011-04-26
48 Credit Suisse (Hong Kong) Limited 6 16 22 2 5 7 -4 -11 -15 72.73 71.43 2008-11-04 2024-09-27
49 Guosen Securities (HK) Brokerage Company, Limited 4 10 14 2 5 7 -2 -5 -7 71.43 71.43 2011-03-14
50 Jin Yi Financial Group Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2022-05-16
51 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 5 9 3 4 7 -1 -1 -2 55.56 57.14 2017-02-22
52 Annum Asset Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2013-12-24
53 Blackwell Global Asset Management Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67 2018-01-15
54 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2011-02-15
55 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2016-12-12
56 GOLDMAN SACHS (ASIA) L.L.C. 4 2 6 5 1 6 1 -1 0 33.33 16.67
57 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 1 7 5 1 6 -1 0 -1 14.29 16.67
58 Minmetals Financial Services Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-10-08
59 NATIXIS ASIA LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2008-08-05
60 Sino-Rich Securities & Futures Limited 4 1 5 3 3 6 -1 2 1 20.00 50.00 2012-06-21
61 TRADING CENTRAL ASIA LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-03-08
62 AP Capital Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2017-08-10
63 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 1 3 4 1 5 2 0 2 33.33 20.00
64 CITIC Futures International Company Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2019-08-23
65 Citigroup Global Markets Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-01-09
66 FORTHRIGHT SECURITIES COMPANY LIMITED 4 5 9 4 1 5 0 -4 -4 55.56 20.00 2019-03-27
67 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2016-10-11
68 GUODU FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2012-12-04
69 Huatai (Hong Kong) Futures Limited 3 1 4 3 2 5 0 1 1 25.00 40.00 2016-09-14
70 Soochow Securities International Futures Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2012-08-27
71 VALUABLE CAPITAL LIMITED 5 2 7 4 1 5 -1 -1 -2 28.57 20.00 2020-04-22
72 Well Link International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2012-10-04
73 YUE XIU FUTURES COMPANY LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2024-07-30
74 ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2019-11-04
75 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
76 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
77 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
78 Funderstone Futures Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
79 Hua Liang Securities Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2019-06-03
80 MCG Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2014-02-12
81 Meta Futures Limited 3 4 7 2 2 4 -1 -2 -3 57.14 50.00 2022-11-09
82 MFG Limited (HK) 4 3 7 3 1 4 -1 -2 -3 42.86 25.00 2010-05-24
83 MIB FUTURES (HONG KONG) LIMITED 4 2 6 3 1 4 -1 -1 -2 33.33 25.00 2011-03-25
84 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
85 Ping An Securities (Hong Kong) Futures Company Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2012-03-30
86 Planetree Research Limited 0 0 0 3 1 4 3 1 4 - 25.00 2023-09-27
87 PRUDENTIAL INDEX TRADING COMPANY LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
88 RC Futures Advisory Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-05-19
89 SG SECURITIES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2010-11-16
90 SINOIF ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2023-05-11
91 Superactive Financial Group Company Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-12
92 Synergy Futures Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2020-11-06
93 Topaz Financial Group Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2019-04-25
94 TradeMaster Securities (Hong Kong) Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2017-08-01
95 YUE XIU SECURITIES COMPANY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2013-12-02
96 Zhong Yang Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-02-05
97 Zhongfu International Futures Co., Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2020-12-15
98 Zinvest Global Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-03-28
99 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
100 Ark Futures (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-02-07
101 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-03
102 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2012-08-28
103 Duncan Futures Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2017-04-25
104 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 FUJI HONG KONG COMMODITIES COMPANY LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-07-20
106 Going Securities Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2020-12-30
107 Grand Capital Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2019-10-10 2024-12-20
108 Grand International Futures Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2017-10-03
109 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-03-05
110 HAMON ASSET MANAGEMENT LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
111 Imagi Brokerage Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-05-25
112 Imperium International Asset Management Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2008-12-02
113 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
114 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
115 Jone Portman Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2023-04-19
116 KuCoin Commodity Futures Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2021-08-12
117 LUK FOOK FUTURES (HK) LIMITED 4 2 6 2 1 3 -2 -1 -3 33.33 33.33 2015-02-26
118 Manford Financial Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2022-02-09
119 NFH Securities and Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-08-25 2025-06-13
120 Nuvama Investment Advisors (Hongkong) Private Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2020-04-14
121 PFP Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
122 SDICS International Futures (Hong Kong) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-10-25
123 Tiger Brokers (HK) Global Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2022-08-24
124 UPBEST COMMODITIES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
125 WINTON CAPITAL ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-18
126 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
127 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-05-08
128 ZHONGRONG PT SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-07-30
129 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
130 ADMIS Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
131 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
132 Augment Wealth Advisors Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-01-13
133 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-08-13
134 Changjiang Securities Brokerage (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-26
135 CHARLESWIN BULLION LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-09-06
136 CHEONG LEE SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-08-27
137 China Enterprise Securities Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-02-19
138 CN FIRST INTERNATIONAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-09-21
139 CSC FUTURES (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
140 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
141 FAIR EAGLE FUTURES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-10-19
142 FUBON SECURITIES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-06-05
143 Golden Hen Securities and Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2024-03-12
144 Hope Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-11-28
145 Huaxin Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-11-01 2025-05-28
146 INVESTPORT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2016-08-29
147 Lion Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-29 2025-09-16
148 LONGRUN FINANCIAL GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-28
149 Metaverse Securities Limited (HK) 1 0 1 2 0 2 1 0 1 0.00 0.00
150 MOUETTE SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2024-06-14
151 Rifa Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-10-27
152 Rui Da International Finance Holding Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-05-31
153 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
154 Standard Chartered Securities (Hong Kong) Limited 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2012-12-17
155 Topology Capital Limited 0 0 0 2 0 2 2 0 2 - 0.00 2023-11-22
156 Tyric Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-13
157 VALUE PARTNERS HONG KONG LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2007-11-19
158 VALUE PARTNERS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
159 Waton Securities International Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-02-10
160 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
161 WING FUNG SECURITIES LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-09-21
162 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
163 YF ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-04-16
164 DA YUE Financial Group Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2021-04-09
165 Future Securities Limited (HK) 2 2 4 0 1 1 -2 -1 -3 50.00 100.00 2019-12-24
166 AXA Investment Managers Chorus Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2017-03-02 2023-08-15
167 CAPE ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2006-05-23 2024-03-13
168 Central China International Futures Company Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2017-08-29 2023-08-18
169 Changjiang Futures (HK) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-02-13 2024-10-25
170 CLC SECURITIES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2020-04-07 2024-04-23
171 DA DI (HONG KONG) FINANCIAL SERVICES LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2018-07-31 2024-01-15
172 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2024-03-21
173 Hang Tai Asset Management Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2017-05-25 2024-11-19
174 HONG KONG ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2020-05-18 2023-12-11
175 HZ CAPITAL LIMITED (HK) 2 1 3 0 0 0 -2 -1 -3 33.33 - 2015-03-26 2024-06-07
176 Rich Bay Securities Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2020-05-27 2024-01-16
177 SDG Securities (HK) Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2020-01-17 2024-02-23
178 Trinity Futures Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-08-07 2024-06-24
Average 2.84 5.49 8.34 2.82 5.79 8.61 65.89 67.28

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