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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2023-09-30 2024-09-30 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 14 195 209 15 182 197 1 -13 -12 93.30 92.39 2003-12-02
2 Morgan Stanley Asia Limited 6 54 60 10 60 70 4 6 10 90.00 85.71 2006-04-07
3 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 4 69 73 2 62 64 -2 -7 -9 94.52 96.88 2010-11-26
4 JPMorgan Asset Management (Asia Pacific) Limited 6 46 52 5 48 53 -1 2 1 88.46 90.57
5 BOCI SECURITIES LIMITED 3 8 11 2 39 41 -1 31 30 72.73 95.12 2005-10-06
6 Futu Securities International (HONG KONG) Limited 5 17 22 5 29 34 0 12 12 77.27 85.29 2018-08-07
7 PHILLIP COMMODITIES (H.K.) LIMITED 3 27 30 4 24 28 1 -3 -2 90.00 85.71
8 Manulife Investment Management (Hong Kong) Limited 7 21 28 6 20 26 -1 -1 -2 75.00 76.92
9 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 24 27 4 20 24 1 -4 -3 88.89 83.33 2008-07-03
10 HSBC Global Asset Management (Hong Kong) Limited 5 16 21 5 18 23 0 2 2 76.19 78.26
11 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 14 17 3 18 21 0 4 4 82.35 85.71
12 China Securities (International) Brokerage Company Limited 3 10 13 3 16 19 0 6 6 76.92 84.21 2014-10-28
13 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 19 21 2 17 19 0 -2 -2 90.48 89.47 2004-10-14
14 SHACOM FUTURES LIMITED 3 15 18 4 15 19 1 0 1 83.33 78.95
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 17 20 2 16 18 -1 -1 -2 85.00 88.89
16 Oasis Management (Hong Kong) 4 15 19 4 14 18 0 -1 -1 78.95 77.78 2004-09-14
17 AllianceBernstein Hong Kong Limited 4 11 15 3 13 16 -1 2 1 73.33 81.25
18 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 12 15 3 12 15 0 0 0 80.00 80.00 2016-03-09
19 COFCO Futures (International) Co., Limited 3 1 4 3 11 14 0 10 10 25.00 78.57 2020-03-16
20 EMPEROR FUTURES LIMITED 5 8 13 6 8 14 1 0 1 61.54 57.14
21 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 10 14 4 10 14 0 0 0 71.43 71.43
22 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 4 9 13 5 8 13 1 -1 0 69.23 61.54 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 FULBRIGHT FUTURES LIMITED 4 9 13 4 9 13 0 0 0 69.23 69.23 2012-03-20
25 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 4 9 13 1 4 5 62.50 69.23
26 SMBC Nikko Securities (Hong Kong) Limited 3 9 12 4 9 13 1 0 1 75.00 69.23 2017-11-07
27 BOCOM International Securities Limited 4 9 13 3 9 12 -1 0 -1 69.23 75.00 2007-09-10
28 TFI Asset Management Limited 4 5 9 4 8 12 0 3 3 55.56 66.67 2014-03-10
29 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 5 11 6 5 11 0 0 0 45.45 45.45
30 KGI FUTURES (HONG KONG) LIMITED 5 7 12 5 6 11 0 -1 -1 58.33 54.55
31 Merrill Lynch (Asia Pacific) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2017-04-26
32 SINOPAC SECURITIES (ASIA) LIMITED 4 2 6 4 7 11 0 5 5 33.33 63.64 2017-02-13
33 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
34 CHIEF COMMODITIES LIMITED 4 5 9 4 6 10 0 1 1 55.56 60.00 2006-05-17 2025-08-31
35 ENHANCED INVESTMENT PRODUCTS LIMITED 2 8 10 3 7 10 1 -1 0 80.00 70.00
36 GET NICE FUTURES COMPANY LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
37 Guosen Securities (HK) Brokerage Company, Limited 4 8 12 5 5 10 1 -3 -2 66.67 50.00 2011-03-14
38 Huaan Securities (Hong Kong) Futures Limited 3 9 12 3 7 10 0 -2 -2 75.00 70.00 2021-11-17
39 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 5 7 12 5 5 10 0 -2 -2 58.33 50.00 2015-06-19
40 Yuanta Securities (Hong Kong) Company Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2012-06-14
41 Hafoo Futures Limited 2 8 10 3 6 9 1 -2 -1 80.00 66.67 2017-11-21
42 HGNH International Futures Co., Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2010-11-01
43 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 7 2 9 8 0 8 1 -2 -1 22.22 0.00 2011-04-26
44 Eddid Securities and Futures Limited 6 6 12 5 3 8 -1 -3 -4 50.00 37.50 2017-09-19
45 JMC Capital International Limited 2 5 7 3 5 8 1 0 1 71.43 62.50 2019-01-31
46 Legend Arb Advisors Limited 3 2 5 3 5 8 0 3 3 40.00 62.50 2019-07-19
47 BOCI COMMODITIES & FUTURES LIMITED 4 6 10 2 5 7 -2 -1 -3 60.00 71.43 2004-11-17
48 ICBC Asset Management (Global) Company Limited 2 6 8 4 3 7 2 -3 -1 75.00 42.86
49 Jin Yi Financial Group Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2022-05-16
50 Sino-Rich Securities & Futures Limited 4 1 5 3 4 7 -1 3 2 20.00 57.14 2012-06-21
51 Annum Asset Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2013-12-24
52 BANDS Financial Limited 0 0 0 4 2 6 4 2 6 - 33.33 2024-07-24
53 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2011-02-15
54 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2016-12-12
55 Citigroup Global Markets Asia Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-01-09
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 5 1 6 5 1 6 0 0 0 16.67 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 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2017-02-22
61 TRADING CENTRAL ASIA LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-03-08
62 VALUABLE CAPITAL LIMITED 5 2 7 4 2 6 -1 0 -1 28.57 33.33 2020-04-22
63 AP Capital Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2017-08-10
64 Ark Futures (Hong Kong) Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2006-02-07
65 Blackwell Global Asset Management Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2018-01-15
66 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 1 3 4 1 5 2 0 2 33.33 20.00
67 CITIC Futures International Company Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2019-08-23
68 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2016-10-11
69 GUODU FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2012-12-04
70 Huatai (Hong Kong) Futures Limited 3 1 4 3 2 5 0 1 1 25.00 40.00 2016-09-14
71 SG SECURITIES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2010-11-16
72 Soochow Securities International Futures Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2012-08-27
73 Well Link International Securities Limited 2 5 7 3 2 5 1 -3 -2 71.43 40.00 2012-10-04
74 Zhongfu International Futures Co., Limited 2 0 2 3 2 5 1 2 3 0.00 40.00 2020-12-15
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 FORTHRIGHT SECURITIES COMPANY LIMITED 4 5 9 3 1 4 -1 -4 -5 55.56 25.00 2019-03-27
79 Funderstone Futures Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
80 Hua Liang Securities Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2019-06-03
81 INVESCO HONG KONG LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
82 MCG Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2014-02-12
83 Meta Futures Limited 4 2 6 2 2 4 -2 0 -2 33.33 50.00 2022-11-09
84 MIB FUTURES (HONG KONG) LIMITED 4 2 6 3 1 4 -1 -1 -2 33.33 25.00 2011-03-25
85 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
86 Ping An Securities (Hong Kong) Futures Company Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-03-30
87 Planetree Research Limited 3 0 3 3 1 4 0 1 1 0.00 25.00 2023-09-27
88 PRUDENTIAL INDEX TRADING COMPANY LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
89 RC Futures Advisory Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-05-19
90 SINOIF ASSET MANAGEMENT LIMITED 2 2 4 2 2 4 0 0 0 50.00 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 3 1 4 3 1 4 0 0 0 25.00 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 ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2019-11-04
97 Zhong Yang Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-02-05
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 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-03
101 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-08-28
102 Duncan Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2017-04-25
103 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 FUJI HONG KONG COMMODITIES COMPANY LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-07-20
105 Going Securities Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2020-12-30
106 Golden Hen Securities and Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2024-03-12
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 3 0 3 1 -1 0 33.33 0.00 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 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
113 Jone Portman Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2023-04-19
114 KuCoin Commodity Futures Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2021-08-12
115 Manford Financial Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2022-02-09
116 MFG Limited (HK) 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-24
117 NFH Securities and Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-08-25 2025-06-13
118 Nuvama Investment Advisors (Hongkong) Private Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2020-04-14
119 PFP Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
120 SDICS International Futures (Hong Kong) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-10-25
121 Tiger Brokers (HK) Global Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2022-08-24
122 UPBEST COMMODITIES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
123 WINTON CAPITAL ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-18
124 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
125 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-05-08
126 ZHONGRONG PT SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-07-30
127 Zircon Securities (HK) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2024-07-09
128 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
129 ADMIS Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
130 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
131 Augment Wealth Advisors Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-01-13
132 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-08-13
133 Changjiang Securities Brokerage (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-26
134 CHARLESWIN BULLION LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-09-06
135 CHEONG LEE SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-08-27
136 China Enterprise Securities Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-02-19
137 CN FIRST INTERNATIONAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-09-21
138 CSC FUTURES (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
139 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
140 FAIR EAGLE FUTURES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-10-19
141 FUBON SECURITIES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-06-05
142 Future Securities Limited (HK) 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2019-12-24
143 Hope Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-11-28
144 Huaxin Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-11-01 2025-05-28
145 Imperium International Asset Management Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2008-12-02
146 INVESTPORT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 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 LUK FOOK FUTURES (HK) LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2015-02-26
150 Metaverse Securities Limited (HK) 1 0 1 2 0 2 1 0 1 0.00 0.00
151 MOUETTE SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2024-06-14
152 Mulana Investment Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2024-07-02
153 Rifa Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-10-27
154 Rui Da International Finance Holding Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-05-31
155 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
156 Standard Chartered Securities (Hong Kong) Limited 3 5 8 2 0 2 -1 -5 -6 62.50 0.00 2012-12-17
157 Topology Capital Limited 0 0 0 2 0 2 2 0 2 - 0.00 2023-11-22
158 Tyric Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-13
159 VALUE PARTNERS HONG KONG LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2007-11-19
160 VALUE PARTNERS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
161 Waton Securities International Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-02-10
162 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
163 WING FUNG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-09-21
164 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
165 YF ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-04-16
166 DA YUE Financial Group Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2021-04-09
167 Hang Tai Asset Management Limited 0 0 0 0 1 1 0 1 1 - 100.00 2017-05-25 2024-11-19
168 CAPE ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2006-05-23 2024-03-13
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 Credit Suisse (Hong Kong) Limited 3 15 18 0 0 0 -3 -15 -18 83.33 - 2008-11-04 2024-09-27
172 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2024-03-21
173 HONG KONG ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2020-05-18 2023-12-11
174 HZ CAPITAL LIMITED (HK) 2 1 3 0 0 0 -2 -1 -3 33.33 - 2015-03-26 2024-06-07
175 Rich Bay Securities Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2020-05-27 2024-01-16
176 SDG Securities (HK) Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2020-01-17 2024-02-23
177 Trinity Futures Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2017-08-07 2024-06-24
178 YUE XIU FUTURES COMPANY LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2024-07-30
Average 2.85 5.54 8.40 2.90 5.66 8.57 66.02 66.11

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