SFC licensees per firm: Advising on corporate finance

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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-04-30 2012-04-30 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 Morgan Stanley Asia Limited 10 217 227 14 247 261 4 30 34 95.59 94.64
2 Citigroup Global Markets Asia Limited 10 202 212 10 244 254 0 42 42 95.28 96.06
3 BARCLAYS CAPITAL ASIA LIMITED 11 143 154 13 179 192 2 36 38 92.86 93.23
4 Credit Suisse (Hong Kong) Limited 20 163 183 20 169 189 0 6 6 89.07 89.42 2024-01-30
5 J.P. MORGAN SECURITIES (FAR EAST) LIMITED 2 2 4 8 157 165 6 155 161 50.00 95.15
6 GOLDMAN SACHS (ASIA) L.L.C. 13 109 122 20 126 146 7 17 24 89.34 86.30
7 Merrill Lynch (Asia Pacific) Limited 5 166 171 7 125 132 2 -41 -39 97.08 94.70
8 Merrill Lynch Far East Limited 5 166 171 7 125 132 2 -41 -39 97.08 94.70 2025-01-16
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 149 154 7 122 129 2 -27 -25 96.75 94.57
10 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 7 107 114 7 115 122 0 8 8 93.86 94.26 2008-08-20
11 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 8 110 118 8 110 118 - 93.22 2012-03-02
12 BOCI ASIA LIMITED 14 76 90 13 87 100 -1 11 10 84.44 87.00
13 RBS Asia Corporate Finance Limited 5 69 74 8 82 90 3 13 16 93.24 91.11 2014-08-15
14 CCB INTERNATIONAL CAPITAL LIMITED 10 67 77 10 68 78 0 1 1 87.01 87.18 2004-05-27
15 MACQUARIE CAPITAL LIMITED 10 80 90 11 67 78 1 -13 -12 88.89 85.90
16 Macquarie Corporate (Hong Kong) Limited 10 80 90 11 67 78 1 -13 -12 88.89 85.90 2017-10-10
17 HSBC Corporate Finance (Hong Kong) Limited 0 0 0 6 70 76 6 70 76 - 92.11 2012-03-09
18 ICBC INTERNATIONAL CAPITAL LIMITED 7 43 50 15 56 71 8 13 21 86.00 78.87 2008-05-27
19 Daiwa Capital Markets Hong Kong Limited 8 54 62 7 56 63 -1 2 1 87.10 88.89
20 BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED 6 56 62 7 50 57 1 -6 -5 90.32 87.72 2017-06-06
21 CSI Corporate Finance (HK) Limited 7 34 41 9 41 50 2 7 9 82.93 82.00 2019-03-29
22 Standard Chartered Securities (Hong Kong) Limited 10 26 36 10 33 43 0 7 7 72.22 76.74 2020-09-14
23 Rothschild & Co Hong Kong Limited 4 39 43 3 36 39 -1 -3 -4 90.70 92.31 2005-04-27
24 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 9 22 31 11 25 36 2 3 5 70.97 69.44
25 HAITONG INTERNATIONAL CAPITAL LIMITED 6 19 25 7 25 32 1 6 7 76.00 78.13
26 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 6 12 18 10 21 31 4 9 13 66.67 67.74 2010-06-30
27 GUOTAI JUNAN CAPITAL LIMITED 6 22 28 6 23 29 0 1 1 78.57 79.31
28 MIZUHO SECURITIES ASIA LIMITED 7 19 26 7 19 26 0 0 0 73.08 73.08
29 BOCOM International (Asia) Limited 7 11 18 7 18 25 0 7 7 61.11 72.00 2007-09-21
30 SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED 6 11 17 6 19 25 0 8 8 64.71 76.00
31 CITIC Securities (Hong Kong) Limited 5 23 28 5 19 24 0 -4 -4 82.14 79.17
32 PIPER JAFFRAY ASIA LIMITED 6 26 32 5 19 24 -1 -7 -8 81.25 79.17 2013-01-24
33 Shang International Finance Limited 9 15 24 10 14 24 1 -1 0 62.50 58.33 2024-01-26
34 CHINA EVERBRIGHT CAPITAL LIMITED 6 16 22 5 18 23 -1 2 1 72.73 78.26
35 ABCI CAPITAL LIMITED 2 13 15 3 18 21 1 5 6 86.67 85.71 2011-03-17
36 CGS International Securities Hong Kong Limited 5 14 19 6 15 21 1 1 2 73.68 71.43 2019-10-10
37 KINGSWAY CAPITAL LIMITED 4 10 14 6 15 21 2 5 7 71.43 71.43
38 Quam Capital Limited (b1994-08-04) 6 9 15 6 15 21 0 6 6 60.00 71.43
39 DBS ASIA CAPITAL LIMITED 6 12 18 8 12 20 2 0 2 66.67 60.00
40 Everbright Securities Global (HK) Limited 5 12 17 3 15 18 -2 3 1 70.59 83.33 2024-06-20
41 Yunfeng Financial Markets Limited 3 1 4 6 12 18 3 11 14 25.00 66.67 2023-10-16
42 CITIC CLSA Capital Partners HK Limited 2 14 16 3 14 17 1 0 1 87.50 82.35 2019-09-24
43 Optima Capital Limited 4 14 18 4 13 17 0 -1 -1 77.78 76.47
44 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) 8 7 15 7 9 16 -1 2 1 46.67 56.25
45 CMB International Capital Limited 3 13 16 4 12 16 1 -1 0 81.25 75.00 2010-09-07
46 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED 5 8 13 5 11 16 0 3 3 61.54 68.75
47 Neutral Financial Holding Company Limited 4 8 12 4 12 16 0 4 4 66.67 75.00
48 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED 4 11 15 5 11 16 1 0 1 73.33 68.75 2024-03-11
49 AMPLE CAPITAL LIMITED 6 7 13 7 8 15 1 1 2 53.85 53.33
50 GF Capital (Hong Kong) Limited 5 5 10 6 9 15 1 4 5 50.00 60.00 2007-01-31
51 CELESTIAL CAPITAL LIMITED 3 10 13 3 11 14 0 1 1 76.92 78.57 2022-05-27
52 CVC Asia Pacific Limited 3 9 12 3 11 14 0 2 2 75.00 78.57
53 Jefferies Hong Kong Limited 2 2 4 3 11 14 1 9 10 50.00 78.57 2010-01-04
54 CINDA INTERNATIONAL CAPITAL LIMITED 5 5 10 4 9 13 -1 4 3 50.00 69.23
55 T G HOLBORN (HK) LIMITED 2 12 14 2 11 13 0 -1 -1 85.71 84.62 2014-04-29
56 VC CAPITAL LIMITED 3 9 12 5 8 13 2 -1 1 75.00 61.54
57 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 6 11 6 6 12 1 0 1 54.55 50.00 2007-07-04
58 Evercore Asia Limited 2 0 2 4 8 12 2 8 10 0.00 66.67 2011-03-04
59 MOELIS & COMPANY ASIA LIMITED 2 5 7 2 10 12 0 5 5 71.43 83.33 2009-12-11
60 South West Capital Limited (d2013-12-11) 0 0 0 5 7 12 5 7 12 - 58.33 2011-06-30 2013-04-26
61 StormHarbour Securities (Hong Kong) Limited 3 8 11 3 9 12 0 1 1 72.73 75.00 2010-03-18
62 Yuanta Securities (Hong Kong) Company Limited 4 8 12 6 6 12 2 -2 0 66.67 50.00 2006-07-08
63 ALTUS CAPITAL LIMITED 3 4 7 3 8 11 0 4 4 57.14 72.73
64 BLACKSTONE GROUP (HK) LIMITED (THE) 2 15 17 2 9 11 0 -6 -6 88.24 81.82 2010-10-20 2015-04-08
65 CC Finance Limited 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2006-04-20 2025-06-19
66 Huajin Corporate Finance (International) Limited 4 7 11 4 7 11 0 0 0 63.64 63.64
67 JW CAPITAL SECURITIES LIMITED 2 4 6 3 8 11 1 4 5 66.67 72.73
68 ORIENTAL PATRON ASIA LIMITED 3 9 12 5 6 11 2 -3 -1 75.00 54.55
69 Templewater Hong Kong Limited 4 6 10 4 7 11 0 1 1 60.00 63.64 2018-10-11
70 Citigroup Venture Capital International Asia Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2005-05-24 2014-04-15
71 EMPEROR CORPORATE FINANCE LIMITED 4 4 8 4 6 10 0 2 2 50.00 60.00
72 Joy Silver Limited 3 7 10 4 6 10 1 -1 0 70.00 60.00 2014-03-17
73 LAZARD ASIA (HONG KONG) LIMITED 2 8 10 3 7 10 1 -1 0 80.00 70.00
74 Zijing Capital Limited 3 6 9 3 7 10 0 1 1 66.67 70.00 2003-05-07
75 Chanceton Capital Partners Limited 2 7 9 4 5 9 2 -2 0 77.78 55.56 2022-11-10
76 Houlihan Lokey (China) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2008-10-09
77 KINGSTON CORPORATE FINANCE LIMITED 3 3 6 3 6 9 0 3 3 50.00 66.67
78 MESSIS CAPITAL LIMITED 2 2 4 5 4 9 3 2 5 50.00 44.44
79 PLATINUM SECURITIES COMPANY LIMITED 4 2 6 4 5 9 0 3 3 33.33 55.56
80 RHB CAPITAL HONG KONG LIMITED 3 9 12 4 5 9 1 -4 -3 75.00 55.56 2020-11-17
81 XinKong International Securities Limited 3 2 5 3 6 9 0 4 4 40.00 66.67 2010-01-22 2018-02-22
82 CHINA MERCHANTS CHINA INVESTMENT MANAGEMENT LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50
83 FORTUNE FINANCIAL CAPITAL LIMITED 3 1 4 3 5 8 0 4 4 25.00 62.50 2009-03-12
84 KPMG CORPORATE FINANCE LIMITED 4 3 7 3 5 8 -1 2 1 42.86 62.50
85 NEW SPRING CAPITAL LIMITED 0 0 0 2 6 8 2 6 8 - 75.00 2011-06-17 2020-07-09
86 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00 2008-03-27
87 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED 3 2 5 3 5 8 0 3 3 40.00 62.50
88 VEDA CAPITAL LIMITED (HK) 3 4 7 4 4 8 1 0 1 57.14 50.00 2005-12-28
89 CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
90 CHINA EVERBRIGHT SECURITIES (HK) LIMITED 4 2 6 3 4 7 -1 2 1 33.33 57.14
91 FIRST SHANGHAI CAPITAL LIMITED 3 7 10 2 5 7 -1 -2 -3 70.00 71.43
92 IVORY CAPITAL PRIVATE LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2007-03-21 2025-07-09
93 KGI CAPITAL ASIA LIMITED 5 4 9 5 2 7 0 -2 -2 44.44 28.57 2022-05-12
94 MUFG Securities Asia Limited 2 2 4 3 4 7 1 2 3 50.00 57.14 2010-12-31
95 PARTNERS CAPITAL INTERNATIONAL LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57
96 RBC Capital Markets (Hong Kong) Limited 0 0 0 3 4 7 3 4 7 - 57.14 2011-11-09 2012-11-01
97 SDICS International Corporate Finance (Hong Kong) Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2010-09-01
98 SINOPAC SECURITIES (ASIA) LIMITED 3 5 8 4 3 7 1 -2 -1 62.50 42.86 2016-10-31
99 CC Real Estate Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2010-08-04 2020-01-08
100 CC SIF Advisory Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-07-07
101 DAEWOO SECURITIES (HONG KONG) LIMITED 0 0 0 3 3 6 3 3 6 - 50.00 2012-02-17 2017-02-28
102 FULBRIGHT CAPITAL LIMITED 0 0 0 4 2 6 4 2 6 - 33.33 2011-06-14 2015-04-20
103 Goldin Financial Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2009-06-01 2019-03-28
104 Income Partners Asset Management (HK) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2025-03-24
105 INCU CORPORATE FINANCE LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
106 Keefe, Bruyette & Woods Asia Limited 2 2 4 3 3 6 1 1 2 50.00 50.00 2010-03-03 2013-04-24
107 Oshidori Corporate Finance Limited 2 2 4 2 4 6 0 2 2 50.00 66.67
108 TIAN YUAN FINANCE LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2020-04-20
109 VISION FINANCE INTERNATIONAL COMPANY LIMITED 4 4 8 3 3 6 -1 -1 -2 50.00 50.00 2007-11-29
110 YU MING INVESTMENT MANAGEMENT LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
111 Anuenue Capital International Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2005-08-30
112 Ark Securities (Hong Kong) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00
113 ASIA INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2021-10-08
114 BaoQiao Partners Capital Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-03-05
115 CHIEF CAPITAL LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2005-07-14 2013-07-15
116 CNCB (Hong Kong) Capital Limited 3 1 4 3 2 5 0 1 1 25.00 40.00 2010-10-27
117 DONVEX CAPITAL LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2009-01-29
118 EXS Capital Asia Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2008-06-12
119 Fosun International Securities Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2024-04-17
120 KB Securities Hong Kong Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00
121 KCG SECURITIES ASIA LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00
122 Nuada Limited 2 3 5 4 1 5 2 -2 0 60.00 20.00 2004-01-15
123 PacBridge Capital Partners (HK) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-03-17 2016-01-27
124 PRESIDENT SECURITIES (HONG KONG) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2007-06-20 2022-09-14
125 Proton Capital Limited 3 0 3 3 2 5 0 2 2 0.00 40.00 2007-10-16
126 Renaissance Capital (Hong Kong) Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2010-11-18 2012-09-28
127 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 0 4 5 0 5 1 0 1 0.00 0.00 2015-07-16
128 TC Capital International Limited 4 1 5 3 2 5 -1 1 0 20.00 40.00 2010-08-11
129 Wells Fargo Securities Asia Limited 3 1 4 2 3 5 -1 2 1 25.00 60.00 2008-04-25
130 Xeram and Company (Asia) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2003-12-19 2015-11-27
131 Argonaut Securities (Asia) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2011-09-08 2021-12-07
132 Beijing Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-11-07
133 CBRE Investment Management (Asia) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-06-18
134 GET NICE SECURITIES LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00
135 GSI FINANCE GROUP LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-03-18 2023-08-17
136 HARMONY ASSET MANAGEMENT LIMITED 3 0 3 2 2 4 -1 2 1 0.00 50.00 2022-07-28
137 HERCULES CAPITAL LIMITED (b2002-05-21) 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2019-01-30
138 HOORAY CAPITAL LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
139 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2005-06-06 2015-11-04
140 Innoform-Ashfield Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2007-08-07 2014-01-23
141 LUMINARY CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2007-11-14 2021-11-01
142 PRUDENTIAL BROKERAGE LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
143 SAMSUNG SECURITIES (ASIA) LIMITED 3 10 13 3 1 4 0 -9 -9 76.92 25.00 2012-09-14
144 SOUTH CHINA CAPITAL LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
145 Tenacity Partners Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-08-13 2013-12-17
146 UOB KAY HIAN (HONG KONG) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
147 UPBEST SECURITIES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
148 VISION FINANCE (SECURITIES) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2008-03-13
149 VMS Securities Limited 1 1 2 2 2 4 1 1 2 50.00 50.00 2024-04-23
150 Asia Pacific Financial Capital Limited 1 1 2 2 1 3 1 0 1 50.00 33.33
151 ASIA PACIFIC INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
152 BOOMWELL INVESTMENTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2019-12-17
153 CAPE ASSET MANAGEMENT LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2014-10-15
154 CHELSEA SECURITIES LIMITED (HK) 3 0 3 3 0 3 0 0 0 0.00 0.00
155 CHINA ASSETS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
156 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
157 CNI GLOBAL CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
158 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2016-06-30
159 CORE PACIFIC-YAMAICHI CAPITAL LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
160 CTBC Asia Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2004-08-19
161 Daishin Securities Asia Limited 0 0 0 3 0 3 3 0 3 - 0.00 2011-09-21 2014-01-30
162 EVER-LONG SECURITIES COMPANY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2025-03-27
163 EVOLUTION ASIA INVESTMENTS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2020-01-24
164 FIRST SHANGHAI SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
165 Funderstone Securities Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
166 GET NICE CAPITAL LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
167 GRANSING SECURITIES CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
168 HAITONG INTERNATIONAL CAPITAL (HK) LIMITED 3 2 5 3 0 3 0 -2 -2 40.00 0.00 2008-07-24 2020-02-21
169 HUA YU INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
170 I-ACCESS INVESTORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2010-11-18 2022-08-23
171 JK Capital Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-03-25
172 Kaiser KT Capital Limited 4 1 5 3 0 3 -1 -1 -2 20.00 0.00
173 KARL THOMSON FINANCIAL ADVISORY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
174 MANGO FINANCIAL LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
175 Milma & Co. Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-09-24 2020-03-03
176 North Asia Strategic Advisors 2 0 2 3 0 3 1 0 1 0.00 0.00 2007-04-04 2014-04-17
177 Odysseus Capital Asia Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-10-29
178 ONG PACIFIC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-01-29
179 PHOENIX CAPITAL ASIA LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2022-12-21
180 PO KAY SECURITIES & SHARES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
181 QH CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-07-22 2021-08-24
182 SDHG International Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2008-12-02
183 SHENG YUAN CAPITAL (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2011-12-05
184 SPDB International Holdings Limited 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2015-12-30
185 SSC MANDARIN FINANCIAL SERVICES LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67 2004-02-05 2015-03-27
186 STJ Advisors (Asia) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2011-11-17 2017-03-02
187 TRANSPAC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
188 VICTORIA CAPITAL LIMITED (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-04-01
189 Wealth Legend Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2022-09-09
190 ZhongHua Finance Capital Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-05-26 2021-02-22
191 ACM ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
192 Allard Partners Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-09-17
193 ANGLO CHINESE SECURITIES, LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
194 Anuenue Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
195 ASIAN CAPITAL PARTNERS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
196 ASM ADVISORY LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2009-11-30 2012-10-26
197 Bauhinia Capital Partners Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-01-09 2018-05-24
198 BAYA CAPITAL LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2006-01-09 2014-10-24
199 BlackRock Asset Management North Asia Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-11-01
200 CENTURION CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
201 CERES CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-08-08
202 China Reserve Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-08-03
203 CHINA TONG BAO INSURANCE BROKERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-05-13
204 Credit Suisse Securities (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-14
205 CSC ASIA LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2013-04-08
206 CUPOLA CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
207 Cynosure Asset Management Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-09-27
208 ENHANCED INVESTMENT PRODUCTS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-01-06 2019-10-31
209 EXCELSIOR CAPITAL ASIA (HK) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
210 FIRST ASIA FINANCE GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-01-29
211 GO-TO-ASIA INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-02-12
212 Golden Jade Capital Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2008-07-23 2021-08-25
213 GUANGDONG (INTERNATIONAL) CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2025-06-05
214 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
215 HONG KONG INTERNATIONAL CAPITAL MANAGEMENT LIMITED 3 1 4 1 1 2 -2 0 -2 25.00 50.00
216 Huizhi International Capital Holdings Co., Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
217 IREALITY INVESTMENTS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
218 JAPAN ASIA ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-08-20
219 JOINCAP CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-01-10
220 JOLMO CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-01-23 2021-08-31
221 KBR Fund Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-01-08 2012-06-19
222 KGI Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-11-22
223 Mirae Asset Securities (HK) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2007-10-09 2013-01-30
224 OASIS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
225 Oppenheimer Investments Asia Limited 2 4 6 0 2 2 -2 -2 -4 66.67 100.00 2010-02-12 2017-07-05
226 ORION INVESTMENT MANAGEMENT LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2009-11-06 2016-12-14
227 REDFORD CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-02-07
228 ROTH Capital Partners (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-11-30 2014-01-20
229 SALISBURY SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-31 2013-08-30
230 Silk Road International Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
231 SIMPSON FINANCIAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-05-11
232 SK Securities Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-01-20 2014-12-19
233 SPS INVESTMENT SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-13
234 STANHILL (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-05-23
235 STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2005-06-20 2015-07-16
236 SUN RAISE CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-09-06
237 UPBEST ASSETS MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
238 VBG Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-04-20
239 Yuanta Financial (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-11-23 2012-09-13
240 FE SECURITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2012-12-28
241 Mason Securities Limited 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2018-07-12
242 Ping An of China Capital (Hong Kong) Company Limited 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2010-12-07
243 Yuanta Asia Investment (Hong Kong) Limited 4 2 6 1 0 1 -3 -2 -5 33.33 0.00 2010-03-10 2013-11-01
244 CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-07-22 2012-08-15
245 CMB International Capital Holdings Corporation Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-17 2011-08-10
246 Fubon Capital (HK) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2012-01-13
247 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-08-26
248 KINGSWAY FINANCIAL SERVICES GROUP LIMITED 3 8 11 0 0 0 -3 -8 -11 72.73 - 2011-08-09
249 KINGSWAY SW ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-09-30
250 Lexicon Partners (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-03-21 2012-08-10
251 MD Healthcare International Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2008-11-05 2011-07-28
252 MEGA CAPITAL (ASIA) COMPANY LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2012-04-20
253 SIMPLEX CAPITAL ASIA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-09-04 2011-11-03
254 TIS SECURITIES (HK) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-06-28
255 Yorkville Advisors HK Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2010-08-27 2012-03-02
Average 3.30 11.76 15.05 3.65 13.59 17.23 78.11 78.84

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