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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2023-11-30 2024-11-30 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 14 194 208 15 182 197 1 -12 -11 93.27 92.39 2003-12-02
2 Morgan Stanley Asia Limited 8 54 62 10 58 68 2 4 6 87.10 85.29 2006-04-07
3 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 4 71 75 2 62 64 -2 -9 -11 94.67 96.88 2010-11-26
4 JPMorgan Asset Management (Asia Pacific) Limited 6 46 52 5 49 54 -1 3 2 88.46 90.74
5 BOCI SECURITIES LIMITED 3 10 13 3 35 38 0 25 25 76.92 92.11 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 26 29 4 24 28 1 -2 -1 89.66 85.71
8 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 27 30 4 22 26 1 -5 -4 90.00 84.62 2008-07-03
9 Manulife Investment Management (Hong Kong) Limited 6 20 26 6 20 26 0 0 0 76.92 76.92
10 HSBC Global Asset Management (Hong Kong) Limited 4 20 24 5 19 24 1 -1 0 83.33 79.17
11 China Securities (International) Brokerage Company Limited 3 11 14 4 18 22 1 7 8 78.57 81.82 2014-10-28
12 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 14 17 3 18 21 0 4 4 82.35 85.71
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 14 18 5 13 18 1 -1 0 77.78 72.22 2004-09-14
16 AllianceBernstein Hong Kong Limited 4 11 15 4 13 17 0 2 2 73.33 76.47
17 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 17 20 2 15 17 -1 -2 -3 85.00 88.24
18 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 12 15 3 13 16 0 1 1 80.00 81.25 2016-03-09
19 CHINA XIN YONGAN FUTURES COMPANY LIMITED 4 7 11 5 10 15 1 3 4 63.64 66.67 2014-06-25
20 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33
21 COFCO Futures (International) Co., Limited 3 10 13 4 10 14 1 0 1 76.92 71.43 2020-03-16
22 EMPEROR FUTURES LIMITED 6 8 14 6 8 14 0 0 0 57.14 57.14
23 HAITONG INTERNATIONAL FUTURES LIMITED 4 5 9 4 10 14 0 5 5 55.56 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 4 8 12 4 9 13 0 1 1 66.67 69.23 2017-11-07
26 FULBRIGHT FUTURES LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67 2012-03-20
27 Guosen Securities (HK) Brokerage Company, Limited 4 6 10 5 7 12 1 1 2 60.00 58.33 2011-03-14
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 BOCOM International Securities Limited 4 10 14 3 8 11 -1 -2 -3 71.43 72.73 2007-09-10
31 KGI FUTURES (HONG KONG) LIMITED 5 7 12 5 6 11 0 -1 -1 58.33 54.55
32 Merrill Lynch (Asia Pacific) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2017-04-26
33 TFI Asset Management Limited 4 7 11 4 7 11 0 0 0 63.64 63.64 2014-03-10
34 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
35 CHIEF COMMODITIES LIMITED 4 6 10 4 6 10 0 0 0 60.00 60.00 2006-05-17 2025-08-31
36 ENHANCED INVESTMENT PRODUCTS LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
37 GET NICE FUTURES COMPANY LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
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 8 10 2 8 10 0 0 0 80.00 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 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2019-01-31
46 BOCI COMMODITIES & FUTURES LIMITED 4 5 9 3 4 7 -1 -1 -2 55.56 57.14 2004-11-17
47 Jin Yi Financial Group Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2022-05-16
48 Sino-Rich Securities & Futures Limited 4 2 6 2 5 7 -2 3 1 33.33 71.43 2012-06-21
49 Annum Asset Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2013-12-24
50 BANDS Financial Limited 0 0 0 4 2 6 4 2 6 - 33.33 2024-07-24
51 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2011-02-15
52 Citigroup Global Markets Asia Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-01-09
53 GOLDMAN SACHS (ASIA) L.L.C. 4 1 5 5 1 6 1 0 1 20.00 16.67
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 5 1 6 1 -1 0 33.33 16.67
55 Huatai (Hong Kong) Futures Limited 3 1 4 3 3 6 0 2 2 25.00 50.00 2016-09-14
56 ICBC Asset Management (Global) Company Limited 2 6 8 4 2 6 2 -4 -2 75.00 33.33
57 Legend Arb Advisors Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2019-07-19
58 Minmetals Financial Services Limited 3 3 6 3 3 6 0 0 0 50.00 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 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2017-02-22
61 Soochow Securities International Futures Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67 2012-08-27
62 TRADING CENTRAL ASIA LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-03-08
63 VALUABLE CAPITAL LIMITED 5 2 7 4 2 6 -1 0 -1 28.57 33.33 2020-04-22
64 YUE XIU SECURITIES COMPANY LIMITED 4 0 4 4 2 6 0 2 2 0.00 33.33 2013-12-02
65 Zhongfu International Futures Co., Limited 2 0 2 3 3 6 1 3 4 0.00 50.00 2020-12-15
66 AP Capital Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2017-08-10
67 Blackwell Global Asset Management Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2018-01-15
68 BTL ASSET MANAGEMENT COMPANY LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2016-12-12
69 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00
70 CITIC Futures International Company Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2019-08-23
71 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2016-10-11
72 GUODU FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2012-12-04
73 SG SECURITIES (HK) LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-11-16
74 Well Link International Securities Limited 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2012-10-04
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 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
79 FORTHRIGHT SECURITIES COMPANY LIMITED 4 5 9 3 1 4 -1 -4 -5 55.56 25.00 2019-03-27
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 3 1 4 1 -1 0 50.00 25.00
82 MCG Management Limited 2 2 4 2 2 4 0 0 0 50.00 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 2 2 4 2 2 4 0 0 0 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 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 3 1 4 1 -1 0 50.00 25.00 2010-05-19
89 SINOIF ASSET MANAGEMENT LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2023-05-11
90 Superactive Financial Group Company Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-12
91 Synergy Futures Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2020-11-06
92 Topaz Financial Group Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2019-04-25
93 TradeMaster Securities (Hong Kong) Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2017-08-01
94 ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2019-11-04
95 Zhong Yang Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-02-05
96 Zinvest Global Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2018-03-28
97 Zircon Securities (HK) Limited 0 0 0 4 0 4 4 0 4 - 0.00 2024-07-09
98 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
99 Ark Futures (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-02-07
100 CHARLESWIN BULLION LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2017-09-06
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 3 0 3 0 0 0 0.00 0.00 2012-08-28
103 CN FIRST INTERNATIONAL FUTURES LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2020-09-21
104 FUJI HONG KONG COMMODITIES COMPANY LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-07-20
105 Funderstone Futures Limited 3 2 5 1 2 3 -2 0 -2 40.00 66.67
106 Future Securities Limited (HK) 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2019-12-24
107 Golden Hen Securities and Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2024-03-12
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 2 4 2 1 3 0 -1 -1 50.00 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 MOUETTE SECURITIES COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2024-06-14
120 NFH Securities and Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-08-25 2025-06-13
121 PFP Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
122 Planetree Research Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2023-09-27
123 Tiger Brokers (HK) Global Limited 2 1 3 2 1 3 0 0 0 33.33 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 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-02-24
127 ZHONGRONG PT SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-07-30
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 1 0 1 2 0 2 1 0 1 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 CHEONG LEE SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-08-27
135 China Enterprise Securities Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-02-19
136 CSC FUTURES (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
137 DA YUE Financial Group Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2021-04-09
138 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
139 Duncan Futures Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2017-04-25
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 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 MIB SECURITIES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2024-11-15
151 Mulana Investment Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2024-07-02
152 Nuvama Investment Advisors (Hongkong) Private Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-04-14
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 SDICS International Futures (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-10-25
157 Standard Chartered Securities (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2012-12-17
158 Topology Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-11-22
159 Tyric Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-13
160 VALUE PARTNERS HONG KONG LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2007-11-19
161 VALUE PARTNERS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
162 Waton Securities International Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-02-10
163 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
164 WING FUNG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-09-21
165 WINNINGTON CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
166 YF ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-04-16
167 Zhonghao International Investment Consulting Co., Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-05-08
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 2 12 14 0 0 0 -2 -12 -14 85.71 - 2008-11-04 2024-09-27
172 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 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 1 0 1 0 0 0 -1 0 -1 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 2.84 5.57 8.41 2.93 5.69 8.62 66.21 66.02

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