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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2023-10-31 2024-10-31 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 14 193 207 15 182 197 1 -11 -10 93.24 92.39 2003-12-02
2 Morgan Stanley Asia Limited 6 55 61 10 57 67 4 2 6 90.16 85.07 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 9 12 3 35 38 0 26 26 75.00 92.11 2005-10-06
6 Futu Securities International (HONG KONG) Limited 5 17 22 5 30 35 0 13 13 77.27 85.71 2018-08-07
7 PHILLIP COMMODITIES (H.K.) LIMITED 3 26 29 4 24 28 1 -2 -1 89.66 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 27 30 4 20 24 1 -7 -6 90.00 83.33 2008-07-03
10 HSBC Global Asset Management (Hong Kong) Limited 5 17 22 5 19 24 0 2 2 77.27 79.17
11 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 13 16 3 18 21 0 5 5 81.25 85.71
12 China Securities (International) Brokerage Company Limited 3 10 13 3 17 20 0 7 7 76.92 85.00 2014-10-28
13 SHACOM FUTURES LIMITED 3 15 18 4 16 20 1 1 2 83.33 80.00
14 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 19 21 2 17 19 0 -2 -2 90.48 89.47 2004-10-14
15 Oasis Management (Hong Kong) 4 15 19 5 13 18 1 -2 -1 78.95 72.22 2004-09-14
16 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 17 20 2 15 17 -1 -2 -3 85.00 88.24
17 AllianceBernstein Hong Kong Limited 4 11 15 3 13 16 -1 2 1 73.33 81.25
18 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 8 12 5 10 15 1 2 3 66.67 66.67 2014-06-25
19 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 12 15 3 12 15 0 0 0 80.00 80.00 2016-03-09
20 COFCO Futures (International) Co., Limited 3 3 6 3 11 14 0 8 8 50.00 78.57 2020-03-16
21 EMPEROR FUTURES LIMITED 6 8 14 6 8 14 0 0 0 57.14 57.14
22 HAITONG INTERNATIONAL FUTURES LIMITED 4 4 8 4 10 14 0 6 6 50.00 71.43
23 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 10 14 4 10 14 0 0 0 71.43 71.43
24 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 4 9 13 5 8 13 1 -1 0 69.23 61.54 2015-06-01
25 SMBC Nikko Securities (Hong Kong) Limited 3 9 12 4 9 13 1 0 1 75.00 69.23 2017-11-07
26 BOCOM International Securities Limited 4 10 14 3 9 12 -1 -1 -2 71.43 75.00 2007-09-10
27 FULBRIGHT FUTURES LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67 2012-03-20
28 SINOPAC SECURITIES (ASIA) LIMITED 4 2 6 4 8 12 0 6 6 33.33 66.67 2017-02-13
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 TFI Asset Management Limited 4 7 11 4 7 11 0 0 0 63.64 63.64 2014-03-10
33 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
34 CHIEF COMMODITIES LIMITED 4 6 10 4 6 10 0 0 0 60.00 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 6 10 5 5 10 1 -1 0 60.00 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 Yuanta Securities (Hong Kong) Company Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2012-06-14
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 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 5 7 12 4 5 9 -1 -2 -3 58.33 55.56 2015-06-19
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 5 11 5 3 8 -1 -2 -3 45.45 37.50 2017-09-19
45 JMC Capital International Limited 2 6 8 3 5 8 1 -1 0 75.00 62.50 2019-01-31
46 Sino-Rich Securities & Futures Limited 4 2 6 3 5 8 -1 3 2 33.33 62.50 2012-06-21
47 ICBC Asset Management (Global) Company Limited 2 6 8 4 3 7 2 -3 -1 75.00 42.86
48 Jin Yi Financial Group Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2022-05-16
49 Legend Arb Advisors Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2019-07-19
50 Annum Asset Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2013-12-24
51 BANDS Financial Limited 0 0 0 4 2 6 4 2 6 - 33.33 2024-07-24
52 BOCI COMMODITIES & FUTURES LIMITED 4 6 10 2 4 6 -2 -2 -4 60.00 66.67 2004-11-17
53 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2011-02-15
54 Citigroup Global Markets Asia Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-01-09
55 GOLDMAN SACHS (ASIA) L.L.C. 4 1 5 5 1 6 1 0 1 20.00 16.67
56 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 5 1 6 5 1 6 0 0 0 16.67 16.67
57 Minmetals Financial Services Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2018-10-08
58 NATIXIS ASIA LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2008-08-05
59 TRADING CENTRAL ASIA LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-03-08
60 VALUABLE CAPITAL LIMITED 5 2 7 4 2 6 -1 0 -1 28.57 33.33 2020-04-22
61 Zhongfu International Futures Co., Limited 2 0 2 3 3 6 1 3 4 0.00 50.00 2020-12-15
62 AP Capital Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2017-08-10
63 Ark Futures (Hong Kong) Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2006-02-07
64 Blackwell Global Asset Management Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2018-01-15
65 BTL ASSET MANAGEMENT COMPANY LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2016-12-12
66 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 1 4 4 1 5 1 0 1 25.00 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 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2017-02-22
73 Soochow Securities International Futures Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2012-08-27
74 Well Link International Securities Limited 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2012-10-04
75 YUE XIU SECURITIES COMPANY LIMITED 4 0 4 4 1 5 0 1 1 0.00 20.00 2013-12-02
76 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
77 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
78 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
79 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
80 FORTHRIGHT SECURITIES COMPANY LIMITED 4 5 9 3 1 4 -1 -4 -5 55.56 25.00 2019-03-27
81 Funderstone Futures Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00
82 Golden Hen Securities and Futures Limited 0 0 0 2 2 4 2 2 4 - 50.00 2024-03-12
83 Hua Liang Securities Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2019-06-03
84 INVESCO HONG KONG LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00
85 MCG Management Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2014-02-12
86 Meta Futures Limited 4 2 6 2 2 4 -2 0 -2 33.33 50.00 2022-11-09
87 MIB FUTURES (HONG KONG) LIMITED 4 2 6 3 1 4 -1 -1 -2 33.33 25.00 2011-03-25
88 MOUETTE SECURITIES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2024-06-14
89 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
90 Ping An Securities (Hong Kong) Futures Company Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-03-30
91 Planetree Research Limited 3 0 3 3 1 4 0 1 1 0.00 25.00 2023-09-27
92 PRUDENTIAL INDEX TRADING COMPANY LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
93 RC Futures Advisory Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-05-19
94 SINOIF ASSET MANAGEMENT LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2023-05-11
95 Superactive Financial Group Company Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-12
96 Synergy Futures Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2020-11-06
97 Topaz Financial Group Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2019-04-25
98 TradeMaster Securities (Hong Kong) Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2017-08-01
99 ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2019-11-04
100 Zhong Yang Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-02-05
101 Zinvest Global Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-03-28
102 Zircon Securities (HK) Limited 0 0 0 4 0 4 4 0 4 - 0.00 2024-07-09
103 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
104 CHARLESWIN BULLION LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2017-09-06
105 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-03
106 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-08-28
107 FUJI HONG KONG COMMODITIES COMPANY LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-07-20
108 Grand Capital Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-10-10 2024-12-20
109 Grand International Futures Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2017-10-03
110 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2008-03-05
111 HAMON ASSET MANAGEMENT LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
112 Imagi Brokerage Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-05-25
113 Imperium International Asset Management Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2008-12-02
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 Manford Financial Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2022-02-09
118 MFG Limited (HK) 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-24
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 PFP Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
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 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-02-24
125 ZHONGRONG PT SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-07-30
126 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
127 ADMIS Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
128 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
129 Augment Wealth Advisors Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2021-01-13
130 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-08-13
131 Changjiang Securities Brokerage (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-07-26
132 CHEONG LEE SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-08-27
133 China Enterprise Securities Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-02-19
134 CN FIRST INTERNATIONAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-09-21
135 CSC FUTURES (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
136 DA YUE Financial Group Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2021-04-09
137 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
138 Duncan Futures Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2017-04-25
139 FAIR EAGLE FUTURES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-10-19
140 FUBON SECURITIES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-06-05
141 Future Securities Limited (HK) 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2019-12-24
142 Going Securities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2020-12-30
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 INVESTPORT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-08-29
146 Lion Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-29 2025-09-16
147 LONGRUN FINANCIAL GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-12-28
148 LUK FOOK FUTURES (HK) LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2015-02-26
149 Metaverse Securities Limited (HK) 1 0 1 2 0 2 1 0 1 0.00 0.00
150 Mulana Investment Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2024-07-02
151 Nuvama Investment Advisors (Hongkong) Private Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-04-14
152 Rifa Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-10-27
153 Rui Da International Finance Holding Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-05-31
154 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
155 SDICS International Futures (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-10-25
156 Standard Chartered Securities (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 0.00 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 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-05-08
167 Hang Tai Asset Management Limited 1 0 1 0 1 1 -1 1 0 0.00 100.00 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 1 0 1 0 0 0 -1 0 -1 0.00 - 2020-04-07 2024-04-23
171 Credit Suisse (Hong Kong) Limited 3 13 16 0 0 0 -3 -13 -16 81.25 - 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 1 0 1 0 0 0 -1 0 -1 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 1 5 6 0 0 0 -1 -5 -6 83.33 - 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 2.83 5.51 8.33 2.91 5.66 8.57 66.09 66.04

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