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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:
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2011-06-30 2012-06-30 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 10 224 234 15 239 254 5 15 20 95.73 94.09
2 Citigroup Global Markets Asia Limited 9 215 224 9 241 250 0 26 26 95.98 96.40
3 UBS SECURITIES HONG KONG LIMITED 0 0 0 9 209 218 9 209 218 - 95.87 2012-06-07 2016-12-18
4 BARCLAYS CAPITAL ASIA LIMITED 12 150 162 13 179 192 1 29 30 92.59 93.23
5 Credit Suisse (Hong Kong) Limited 19 172 191 18 155 173 -1 -17 -18 90.05 89.60 2024-01-30
6 J.P. MORGAN SECURITIES (FAR EAST) LIMITED 2 2 4 8 153 161 6 151 157 50.00 95.03
7 GOLDMAN SACHS (ASIA) L.L.C. 16 117 133 20 128 148 4 11 15 87.97 86.49
8 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 8 102 110 7 132 139 -1 30 29 92.73 94.96 2008-08-20
9 Merrill Lynch (Asia Pacific) Limited 5 173 178 7 131 138 2 -42 -40 97.19 94.93
10 Merrill Lynch Far East Limited 5 173 178 7 131 138 2 -42 -40 97.19 94.93 2025-01-16
11 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 8 120 128 8 120 128 - 93.75 2012-03-02
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 6 138 144 7 119 126 1 -19 -18 95.83 94.44
13 HSBC Corporate Finance (Hong Kong) Limited 0 0 0 6 109 115 6 109 115 - 94.78 2012-03-09
14 BOCI ASIA LIMITED 14 74 88 8 82 90 -6 8 2 84.09 91.11
15 MACQUARIE CAPITAL LIMITED 10 75 85 11 66 77 1 -9 -8 88.24 85.71
16 Macquarie Corporate (Hong Kong) Limited 10 75 85 11 66 77 1 -9 -8 88.24 85.71 2017-10-10
17 CCB INTERNATIONAL CAPITAL LIMITED 10 69 79 9 64 73 -1 -5 -6 87.34 87.67 2004-05-27
18 ICBC INTERNATIONAL CAPITAL LIMITED 6 47 53 16 51 67 10 4 14 88.68 76.12 2008-05-27
19 Daiwa Capital Markets Hong Kong Limited 9 72 81 8 55 63 -1 -17 -18 88.89 87.30
20 BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED 7 55 62 7 50 57 0 -5 -5 88.71 87.72 2017-06-06
21 CSI Corporate Finance (HK) Limited 7 39 46 9 43 52 2 4 6 84.78 82.69 2019-03-29
22 Standard Chartered Securities (Hong Kong) Limited 10 25 35 10 34 44 0 9 9 71.43 77.27 2020-09-14
23 RBS Asia Corporate Finance Limited 6 68 74 2 38 40 -4 -30 -34 91.89 95.00 2014-08-15
24 Rothschild & Co Hong Kong Limited 3 39 42 3 37 40 0 -2 -2 92.86 92.50 2005-04-27
25 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 9 22 31 11 25 36 2 3 5 70.97 69.44
26 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 12 19 31 10 22 32 -2 3 1 61.29 68.75 2010-06-30
27 HAITONG INTERNATIONAL CAPITAL LIMITED 6 19 25 7 24 31 1 5 6 76.00 77.42
28 GUOTAI JUNAN CAPITAL LIMITED 6 23 29 6 22 28 0 -1 -1 79.31 78.57
29 SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED 7 9 16 6 21 27 -1 12 11 56.25 77.78
30 BOCOM International (Asia) Limited 7 10 17 7 19 26 0 9 9 58.82 73.08 2007-09-21
31 MIZUHO SECURITIES ASIA LIMITED 6 19 25 7 19 26 1 0 1 76.00 73.08
32 Shang International Finance Limited 11 13 24 10 15 25 -1 2 1 54.17 60.00 2024-01-26
33 CHINA EVERBRIGHT CAPITAL LIMITED 6 18 24 5 19 24 -1 1 0 75.00 79.17
34 CITIC Securities (Hong Kong) Limited 5 25 30 5 18 23 0 -7 -7 83.33 78.26
35 PIPER JAFFRAY ASIA LIMITED 6 23 29 4 19 23 -2 -4 -6 79.31 82.61 2013-01-24
36 ABCI CAPITAL LIMITED 2 14 16 3 18 21 1 4 5 87.50 85.71 2011-03-17
37 KINGSWAY CAPITAL LIMITED 4 10 14 6 15 21 2 5 7 71.43 71.43
38 CGS International Securities Hong Kong Limited 5 16 21 6 14 20 1 -2 -1 76.19 70.00 2019-10-10
39 DBS ASIA CAPITAL LIMITED 4 12 16 8 12 20 4 0 4 75.00 60.00
40 Quam Capital Limited (b1994-08-04) 6 11 17 6 14 20 0 3 3 64.71 70.00
41 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED 5 7 12 6 13 19 1 6 7 58.33 68.42
42 Optima Capital Limited 4 12 16 4 14 18 0 2 2 75.00 77.78
43 AMPLE CAPITAL LIMITED 7 6 13 7 10 17 0 4 4 46.15 58.82
44 CMB International Capital Limited 3 13 16 3 14 17 0 1 1 81.25 82.35 2010-09-07
45 Everbright Securities Global (HK) Limited 4 10 14 3 14 17 -1 4 3 71.43 82.35 2024-06-20
46 Neutral Financial Holding Company Limited 4 9 13 5 12 17 1 3 4 69.23 70.59
47 CITIC CLSA Capital Partners HK Limited 2 14 16 3 13 16 1 -1 0 87.50 81.25 2019-09-24
48 Jefferies Hong Kong Limited 2 3 5 3 13 16 1 10 11 60.00 81.25 2010-01-04
49 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) 7 7 14 7 8 15 0 1 1 50.00 53.33
50 GF Capital (Hong Kong) Limited 6 8 14 5 10 15 -1 2 1 57.14 66.67 2007-01-31
51 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED 4 11 15 5 10 15 1 -1 0 73.33 66.67 2024-03-11
52 Yunfeng Financial Markets Limited 3 1 4 5 10 15 2 9 11 25.00 66.67 2023-10-16
53 CELESTIAL CAPITAL LIMITED 3 13 16 3 11 14 0 -2 -2 81.25 78.57 2022-05-27
54 CVC Asia Pacific Limited 3 11 14 3 11 14 0 0 0 78.57 78.57
55 CINDA INTERNATIONAL CAPITAL LIMITED 6 6 12 4 9 13 -2 3 1 50.00 69.23
56 MOELIS & COMPANY ASIA LIMITED 2 5 7 2 11 13 0 6 6 71.43 84.62 2009-12-11
57 T G HOLBORN (HK) LIMITED 2 12 14 2 11 13 0 -1 -1 85.71 84.62 2014-04-29
58 VC CAPITAL LIMITED 4 8 12 6 7 13 2 -1 1 66.67 53.85
59 Yuanta Securities (Hong Kong) Company Limited 5 7 12 7 6 13 2 -1 1 58.33 46.15 2006-07-08
60 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 5 10 6 6 12 1 1 2 50.00 50.00 2007-07-04
61 Evercore Asia Limited 2 1 3 4 8 12 2 7 9 33.33 66.67 2011-03-04
62 Huajin Corporate Finance (International) Limited 4 5 9 4 8 12 0 3 3 55.56 66.67
63 StormHarbour Securities (Hong Kong) Limited 3 9 12 3 9 12 0 0 0 75.00 75.00 2010-03-18
64 ALTUS CAPITAL LIMITED 3 5 8 3 8 11 0 3 3 62.50 72.73
65 BLACKSTONE GROUP (HK) LIMITED (THE) 2 14 16 2 9 11 0 -5 -5 87.50 81.82 2010-10-20 2015-04-08
66 CC Finance Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2006-04-20 2025-06-19
67 JW CAPITAL SECURITIES LIMITED 2 3 5 3 8 11 1 5 6 60.00 72.73
68 LAZARD ASIA (HONG KONG) LIMITED 3 7 10 4 7 11 1 0 1 70.00 63.64
69 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
70 Joy Silver Limited 3 7 10 4 6 10 1 -1 0 70.00 60.00 2014-03-17
71 MESSIS CAPITAL LIMITED 2 4 6 5 5 10 3 1 4 66.67 50.00
72 ORIENTAL PATRON ASIA LIMITED 4 9 13 4 6 10 0 -3 -3 69.23 60.00
73 RHB CAPITAL HONG KONG LIMITED 3 8 11 4 6 10 1 -2 -1 72.73 60.00 2020-11-17
74 Templewater Hong Kong Limited 4 6 10 4 6 10 0 0 0 60.00 60.00 2018-10-11
75 Zijing Capital Limited 3 6 9 3 7 10 0 1 1 66.67 70.00 2003-05-07
76 Chanceton Capital Partners Limited 3 7 10 4 5 9 1 -2 -1 70.00 55.56 2022-11-10
77 EMPEROR CORPORATE FINANCE LIMITED 4 5 9 4 5 9 0 0 0 55.56 55.56
78 Houlihan Lokey (China) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2008-10-09
79 KINGSTON CORPORATE FINANCE LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67
80 PLATINUM SECURITIES COMPANY LIMITED 4 4 8 4 5 9 0 1 1 50.00 55.56
81 RBC Capital Markets (Hong Kong) Limited 0 0 0 3 6 9 3 6 9 - 66.67 2011-11-09 2012-11-01
82 SDICS International Corporate Finance (Hong Kong) Limited 2 4 6 3 6 9 1 2 3 66.67 66.67 2010-09-01
83 South West Capital Limited (d2013-12-11) 2 0 2 5 4 9 3 4 7 0.00 44.44 2011-06-30 2013-04-26
84 XinKong International Securities Limited 3 2 5 3 6 9 0 4 4 40.00 66.67 2010-01-22 2018-02-22
85 CHINA MERCHANTS CHINA INVESTMENT MANAGEMENT LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
86 FORTUNE FINANCIAL CAPITAL LIMITED 2 1 3 4 4 8 2 3 5 33.33 50.00 2009-03-12
87 IVORY CAPITAL PRIVATE LIMITED 2 6 8 3 5 8 1 -1 0 75.00 62.50 2007-03-21 2025-07-09
88 KGI CAPITAL ASIA LIMITED 5 5 10 5 3 8 0 -2 -2 50.00 37.50 2022-05-12
89 KPMG CORPORATE FINANCE LIMITED 4 2 6 3 5 8 -1 3 2 33.33 62.50
90 NEW SPRING CAPITAL LIMITED 2 0 2 2 6 8 0 6 6 0.00 75.00 2011-06-17 2020-07-09
91 PARTNERS CAPITAL INTERNATIONAL LIMITED 5 2 7 5 3 8 0 1 1 28.57 37.50
92 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED 4 4 8 4 4 8 0 0 0 50.00 50.00 2008-03-27
93 VEDA CAPITAL LIMITED (HK) 3 4 7 4 4 8 1 0 1 57.14 50.00 2005-12-28
94 CC SIF Advisory Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-07-07
95 CHINA EVERBRIGHT SECURITIES (HK) LIMITED 4 2 6 3 4 7 -1 2 1 33.33 57.14
96 DONVEX CAPITAL LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2009-01-29
97 FIRST SHANGHAI CAPITAL LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43
98 CC Real Estate Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2010-08-04 2020-01-08
99 CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
100 DAEWOO SECURITIES (HONG KONG) LIMITED 0 0 0 3 3 6 3 3 6 - 50.00 2012-02-17 2017-02-28
101 Goldin Financial Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2009-06-01 2019-03-28
102 Income Partners Asset Management (HK) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2025-03-24
103 INCU CORPORATE FINANCE LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
104 MUFG Securities Asia Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2010-12-31
105 Nuada Limited 2 3 5 5 1 6 3 -2 1 60.00 16.67 2004-01-15
106 Oshidori Corporate Finance Limited 2 1 3 2 4 6 0 3 3 33.33 66.67
107 Religare Capital Markets (Hong Kong) Limited 0 0 0 3 3 6 3 3 6 - 50.00 2012-05-14 2014-10-07
108 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED 3 5 8 2 4 6 -1 -1 -2 62.50 66.67
109 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 1 5 5 1 6 1 0 1 20.00 16.67 2015-07-16
110 TIAN YUAN FINANCE LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2020-04-20
111 VISION FINANCE INTERNATIONAL COMPANY LIMITED 4 4 8 3 3 6 -1 -1 -2 50.00 50.00 2007-11-29
112 YU MING INVESTMENT MANAGEMENT LIMITED 3 1 4 3 3 6 0 2 2 25.00 50.00
113 Anuenue Capital International Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2005-08-30
114 Ark Securities (Hong Kong) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00
115 ASIA INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2021-10-08
116 BlackRock Asset Management North Asia Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-11-01
117 CHIEF CAPITAL LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2005-07-14 2013-07-15
118 CNCB (Hong Kong) Capital Limited 3 1 4 2 3 5 -1 2 1 25.00 60.00 2010-10-27
119 EXS Capital Asia Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2008-06-12
120 Fosun International Securities Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2024-04-17
121 FULBRIGHT CAPITAL LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2011-06-14 2015-04-20
122 KCG SECURITIES ASIA LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00
123 Keefe, Bruyette & Woods Asia Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2010-03-03 2013-04-24
124 PacBridge Capital Partners (HK) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-03-17 2016-01-27
125 PRESIDENT SECURITIES (HONG KONG) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2007-06-20 2022-09-14
126 Proton Capital Limited 3 0 3 3 2 5 0 2 2 0.00 40.00 2007-10-16
127 SOUTH CHINA CAPITAL LIMITED 1 3 4 2 3 5 1 0 1 75.00 60.00
128 TC Capital International Limited 4 2 6 3 2 5 -1 0 -1 33.33 40.00 2010-08-11
129 UOB KAY HIAN (HONG KONG) LIMITED 2 1 3 4 1 5 2 0 2 33.33 20.00
130 VMS Securities Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2024-04-23
131 Wealth Legend Asset Management Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2022-09-09
132 Wells Fargo Securities Asia Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-04-25
133 Xeram and Company (Asia) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2003-12-19 2015-11-27
134 Argonaut Securities (Asia) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2011-09-08 2021-12-07
135 BaoQiao Partners Capital Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-03-05
136 Beijing Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-11-07
137 CBRE Investment Management (Asia) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-06-18
138 FIRST SHANGHAI SECURITIES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
139 GET NICE SECURITIES LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00
140 HARMONY ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2022-07-28
141 HERCULES CAPITAL LIMITED (b2002-05-21) 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2019-01-30
142 HOORAY CAPITAL LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
143 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
144 Innoform-Ashfield Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2007-08-07 2014-01-23
145 Kaiser KT Capital Limited 4 1 5 3 1 4 -1 0 -1 20.00 25.00
146 KB Securities Hong Kong Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
147 LUMINARY CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2007-11-14 2021-11-01
148 PRUDENTIAL BROKERAGE LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
149 Quam Securities Limited 0 0 0 2 2 4 2 2 4 - 50.00 2012-05-25
150 VISION FINANCE (SECURITIES) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2008-03-13
151 Asia Pacific Financial Capital Limited 1 1 2 2 1 3 1 0 1 50.00 33.33
152 ASIA PACIFIC INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
153 Bauhinia Capital Partners Limited 0 0 0 2 1 3 2 1 3 - 33.33 2012-01-09 2018-05-24
154 BOOMWELL INVESTMENTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2019-12-17
155 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
156 CHELSEA SECURITIES LIMITED (HK) 3 0 3 3 0 3 0 0 0 0.00 0.00
157 CHINA ASSETS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
158 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
159 CNI GLOBAL CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
160 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2016-06-30
161 CORE PACIFIC-YAMAICHI CAPITAL LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
162 CTBC Asia Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2004-08-19
163 EVER-LONG SECURITIES COMPANY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2025-03-27
164 EVOLUTION ASIA INVESTMENTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2020-01-24
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 GSI FINANCE GROUP LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2011-03-18 2023-08-17
169 HAITONG INTERNATIONAL CAPITAL (HK) LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2008-07-24 2020-02-21
170 HUA YU INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
171 I-ACCESS INVESTORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2010-11-18 2022-08-23
172 JK Capital Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-03-25
173 KARL THOMSON FINANCIAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
174 MANGO FINANCIAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
175 MIB SECURITIES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2012-05-21 2020-02-05
176 Milma & Co. Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-09-24 2020-03-03
177 North Asia Strategic Advisors 2 0 2 3 0 3 1 0 1 0.00 0.00 2007-04-04 2014-04-17
178 Odysseus Capital Asia Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-10-29
179 ONG PACIFIC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-01-29
180 Oppenheimer Investments Asia Limited 2 4 6 1 2 3 -1 -2 -3 66.67 66.67 2010-02-12 2017-07-05
181 PHOENIX CAPITAL ASIA LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2022-12-21
182 PO KAY SECURITIES & SHARES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
183 QH CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-07-22 2021-08-24
184 SAMSUNG SECURITIES (ASIA) LIMITED 3 11 14 3 0 3 0 -11 -11 78.57 0.00 2012-09-14
185 SDHG International Asset Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2008-12-02
186 SHENG YUAN CAPITAL (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2011-12-05
187 SINOPAC SECURITIES (ASIA) LIMITED 2 6 8 1 2 3 -1 -4 -5 75.00 66.67 2016-10-31
188 SPDB International Holdings Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2015-12-30
189 Tenacity Partners Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2010-08-13 2013-12-17
190 TRANSPAC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
191 UPBEST SECURITIES COMPANY LIMITED 2 3 5 1 2 3 -1 -1 -2 60.00 66.67
192 VICTORIA CAPITAL LIMITED (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-04-01
193 ZhongHua Finance Capital Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-05-26 2021-02-22
194 ACM ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
195 Allard Partners Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-09-17
196 ANGLO CHINESE SECURITIES, LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
197 Anuenue Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
198 ASIAN CAPITAL PARTNERS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
199 BAYA CAPITAL LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2006-01-09 2014-10-24
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 Changjiang Corporate Finance (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-29
203 China Reserve Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-08-03
204 CSC ASIA LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-04-08
205 CUPOLA CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-03-26
206 Cynosure Asset Management Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-09-27
207 Daishin Securities Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-09-21 2014-01-30
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 2 1 3 1 1 2 -1 0 -1 33.33 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 KGI Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-11-22
222 Mason Securities Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2018-07-12
223 OASIS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
224 ORION INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2009-11-06 2016-12-14
225 Ping An of China Capital (Hong Kong) Company Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2010-12-07
226 REDFORD CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-02-07
227 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
228 SALISBURY SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-31 2013-08-30
229 Silk Road International Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
230 SIMPSON FINANCIAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-05-11
231 SK Securities Hong Kong Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-01-20 2014-12-19
232 SPS INVESTMENT SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-13
233 SSC MANDARIN FINANCIAL SERVICES LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2004-02-05 2015-03-27
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 STJ Advisors (Asia) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-11-17 2017-03-02
237 SUN RAISE CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-09-06
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 CHINA TONG BAO INSURANCE BROKERS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-05-13
241 FE SECURITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2012-12-28
242 Mirae Asset Securities (HK) Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2007-10-09 2013-01-30
243 UPBEST ASSETS MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
244 Yuanta Asia Investment (Hong Kong) Limited 4 1 5 1 0 1 -3 -1 -4 20.00 0.00 2010-03-10 2013-11-01
245 ASM ADVISORY LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2009-11-30 2012-10-26
246 CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2010-07-22 2012-08-15
247 Credit Suisse Securities (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-06-14
248 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2011-08-26
249 KBR Fund Management Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-01-08 2012-06-19
250 KINGSWAY FINANCIAL SERVICES GROUP LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2011-08-09
251 KINGSWAY SW ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-09-30
252 Lexicon Partners (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-03-21 2012-08-10
253 MEGA CAPITAL (ASIA) COMPANY LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2012-04-20
254 Octal Capital Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-06-01
255 Renaissance Capital (Hong Kong) Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2010-11-18 2012-09-28
256 SIMPLEX CAPITAL ASIA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-09-04 2011-11-03
257 TIS SECURITIES (HK) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-06-28
258 Yorkville Advisors HK Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2010-08-27 2012-03-02
Average 3.32 11.98 15.30 3.60 14.42 18.02 78.28 80.03

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