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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-04-30 2013-04-30 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 UBS SECURITIES HONG KONG LIMITED 0 0 0 8 240 248 8 240 248 - 96.77 2012-06-07 2016-12-18
2 Morgan Stanley Asia Limited 14 247 261 13 213 226 -1 -34 -35 94.64 94.25
3 Citigroup Global Markets Asia Limited 10 244 254 10 204 214 0 -40 -40 96.06 95.33
4 BARCLAYS CAPITAL ASIA LIMITED 13 179 192 11 148 159 -2 -31 -33 93.23 93.08
5 Merrill Lynch (Asia Pacific) Limited 7 125 132 8 139 147 1 14 15 94.70 94.56
6 Merrill Lynch Far East Limited 7 125 132 8 139 147 1 14 15 94.70 94.56 2025-01-16
7 GOLDMAN SACHS (ASIA) L.L.C. 20 126 146 19 126 145 -1 0 -1 86.30 86.90
8 J.P. MORGAN SECURITIES (FAR EAST) LIMITED 8 157 165 9 132 141 1 -25 -24 95.15 93.62
9 HSBC Corporate Finance (Hong Kong) Limited 6 70 76 9 123 132 3 53 56 92.11 93.18 2012-03-09
10 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 7 115 122 8 119 127 1 4 5 94.26 93.70 2008-08-20
11 DEUTSCHE SECURITIES ASIA LIMITED 8 110 118 9 112 121 1 2 3 93.22 92.56 2012-03-02
12 Credit Suisse (Hong Kong) Limited 20 169 189 13 100 113 -7 -69 -76 89.42 88.50 2024-01-30
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 7 122 129 5 105 110 -2 -17 -19 94.57 95.45
14 BOCI ASIA LIMITED 13 87 100 6 88 94 -7 1 -6 87.00 93.62
15 CCB INTERNATIONAL CAPITAL LIMITED 10 68 78 12 58 70 2 -10 -8 87.18 82.86 2004-05-27
16 MACQUARIE CAPITAL LIMITED 11 67 78 8 62 70 -3 -5 -8 85.90 88.57
17 Macquarie Corporate (Hong Kong) Limited 11 67 78 8 62 70 -3 -5 -8 85.90 88.57 2017-10-10
18 ICBC INTERNATIONAL CAPITAL LIMITED 15 56 71 7 50 57 -8 -6 -14 78.87 87.72 2008-05-27
19 CGS International Securities Hong Kong Limited 6 15 21 13 38 51 7 23 30 71.43 74.51 2019-10-10
20 BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED 7 50 57 5 45 50 -2 -5 -7 87.72 90.00 2017-06-06
21 BNP PARIBAS SECURITIES (ASIA) LIMITED 0 0 0 5 45 50 5 45 50 - 90.00 2013-03-28
22 Standard Chartered Securities (Hong Kong) Limited 10 33 43 9 40 49 -1 7 6 76.74 81.63 2020-09-14
23 CSI Corporate Finance (HK) Limited 9 41 50 9 37 46 0 -4 -4 82.00 80.43 2019-03-29
24 Rothschild & Co Hong Kong Limited 3 36 39 2 37 39 -1 1 0 92.31 94.87 2005-04-27
25 Daiwa Capital Markets Hong Kong Limited 7 56 63 7 31 38 0 -25 -25 88.89 81.58
26 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 11 25 36 11 26 37 0 1 1 69.44 70.27
27 RBS Asia Corporate Finance Limited 8 82 90 2 35 37 -6 -47 -53 91.11 94.59 2014-08-15
28 Jefferies Hong Kong Limited 3 11 14 5 28 33 2 17 19 78.57 84.85 2010-01-04
29 GUOTAI JUNAN CAPITAL LIMITED 6 23 29 8 22 30 2 -1 1 79.31 73.33
30 HAITONG INTERNATIONAL CAPITAL LIMITED 7 25 32 6 24 30 -1 -1 -2 78.13 80.00
31 BOCOM International (Asia) Limited 7 18 25 7 22 29 0 4 4 72.00 75.86 2007-09-21
32 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED 5 11 16 5 21 26 0 10 10 68.75 80.77
33 Shang International Finance Limited 10 14 24 10 16 26 0 2 2 58.33 61.54 2024-01-26
34 KINGSWAY CAPITAL LIMITED 6 15 21 7 17 24 1 2 3 71.43 70.83
35 CHINA EVERBRIGHT CAPITAL LIMITED 5 18 23 4 19 23 -1 1 0 78.26 82.61
36 ABCI CAPITAL LIMITED 3 18 21 6 16 22 3 -2 1 85.71 72.73 2011-03-17
37 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 10 21 31 6 16 22 -4 -5 -9 67.74 72.73 2010-06-30
38 MIZUHO SECURITIES ASIA LIMITED 7 19 26 7 15 22 0 -4 -4 73.08 68.18
39 Quam Capital Limited (b1994-08-04) 6 15 21 5 15 20 -1 0 -1 71.43 75.00
40 SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED 6 19 25 6 14 20 0 -5 -5 76.00 70.00
41 CITIC Securities (Hong Kong) Limited 5 19 24 5 14 19 0 -5 -5 79.17 73.68
42 CMB International Capital Limited 4 12 16 3 16 19 -1 4 3 75.00 84.21 2010-09-07
43 DBS ASIA CAPITAL LIMITED 8 12 20 7 12 19 -1 0 -1 60.00 63.16
44 Yunfeng Financial Markets Limited 6 12 18 4 15 19 -2 3 1 66.67 78.95 2023-10-16
45 CITIC CLSA Capital Partners HK Limited 3 14 17 3 14 17 0 0 0 82.35 82.35 2019-09-24
46 AMPLE CAPITAL LIMITED 7 8 15 6 10 16 -1 2 1 53.33 62.50
47 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) 7 9 16 7 9 16 0 0 0 56.25 56.25
48 CVC Asia Pacific Limited 3 11 14 3 13 16 0 2 2 78.57 81.25
49 Neutral Financial Holding Company Limited 4 12 16 4 11 15 0 -1 -1 75.00 73.33
50 Evercore Asia Limited 4 8 12 4 10 14 0 2 2 66.67 71.43 2011-03-04
51 GF Capital (Hong Kong) Limited 6 9 15 5 9 14 -1 0 -1 60.00 64.29 2007-01-31
52 Optima Capital Limited 4 13 17 3 11 14 -1 -2 -3 76.47 78.57
53 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED 5 11 16 5 9 14 0 -2 -2 68.75 64.29 2024-03-11
54 BLACKSTONE GROUP (HK) LIMITED (THE) 2 9 11 2 11 13 0 2 2 81.82 84.62 2010-10-20 2015-04-08
55 MOELIS & COMPANY ASIA LIMITED 2 10 12 2 11 13 0 1 1 83.33 84.62 2009-12-11
56 StormHarbour Securities (Hong Kong) Limited 3 9 12 3 10 13 0 1 1 75.00 76.92 2010-03-18
57 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 6 12 6 6 12 0 0 0 50.00 50.00 2007-07-04
58 CELESTIAL CAPITAL LIMITED 3 11 14 3 9 12 0 -2 -2 78.57 75.00 2022-05-27
59 CINDA INTERNATIONAL CAPITAL LIMITED 4 9 13 3 9 12 -1 0 -1 69.23 75.00
60 T G HOLBORN (HK) LIMITED 2 11 13 2 10 12 0 -1 -1 84.62 83.33 2014-04-29
61 ALTUS CAPITAL LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73
62 Chanceton Capital Partners Limited 4 5 9 5 6 11 1 1 2 55.56 54.55 2022-11-10
63 CLC International Limited 0 0 0 4 7 11 4 7 11 - 63.64 2012-12-07 2022-10-26
64 Everbright Securities Global (HK) Limited 3 15 18 3 8 11 0 -7 -7 83.33 72.73 2024-06-20
65 Huajin Corporate Finance (International) Limited 4 7 11 4 7 11 0 0 0 63.64 63.64
66 Joy Silver Limited 4 6 10 5 6 11 1 0 1 60.00 54.55 2014-03-17
67 MESSIS CAPITAL LIMITED 5 4 9 5 6 11 0 2 2 44.44 54.55
68 ORIENTAL PATRON ASIA LIMITED 5 6 11 5 6 11 0 0 0 54.55 54.55
69 Templewater Hong Kong Limited 4 7 11 5 6 11 1 -1 0 63.64 54.55 2018-10-11
70 CC Finance Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2006-04-20 2025-06-19
71 China Galaxy International Securities (Hong Kong) Co., Limited 0 0 0 3 7 10 3 7 10 - 70.00 2012-07-23
72 DL SECURITIES (HK) LIMITED 0 0 0 3 7 10 3 7 10 - 70.00 2012-09-04
73 EMPEROR CORPORATE FINANCE LIMITED 4 6 10 4 6 10 0 0 0 60.00 60.00
74 FORTUNE FINANCIAL CAPITAL LIMITED 3 5 8 5 5 10 2 0 2 62.50 50.00 2009-03-12
75 Houlihan Lokey (China) Limited 2 7 9 2 8 10 0 1 1 77.78 80.00 2008-10-09
76 JW CAPITAL SECURITIES LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00
77 RHB CAPITAL HONG KONG LIMITED 4 5 9 3 7 10 -1 2 1 55.56 70.00 2020-11-17
78 SINOPAC SECURITIES (ASIA) LIMITED 4 3 7 5 5 10 1 2 3 42.86 50.00 2016-10-31
79 CHINA MERCHANTS CHINA INVESTMENT MANAGEMENT LIMITED 3 5 8 3 6 9 0 1 1 62.50 66.67
80 Citigroup Venture Capital International Asia Limited 3 7 10 2 7 9 -1 0 -1 70.00 77.78 2005-05-24 2014-04-15
81 FIRST SHANGHAI CAPITAL LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78
82 Nuada Limited 4 1 5 7 2 9 3 1 4 20.00 22.22 2004-01-15
83 SDICS International Corporate Finance (Hong Kong) Limited 3 4 7 4 5 9 1 1 2 57.14 55.56 2010-09-01
84 VC CAPITAL LIMITED 5 8 13 5 4 9 0 -4 -4 61.54 44.44
85 Zijing Capital Limited 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2003-05-07
86 CNCB (Hong Kong) Capital Limited 3 2 5 1 7 8 -2 5 3 40.00 87.50 2010-10-27
87 DONVEX CAPITAL LIMITED 3 2 5 4 4 8 1 2 3 40.00 50.00 2009-01-29
88 KPMG CORPORATE FINANCE LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
89 LAZARD ASIA (HONG KONG) LIMITED 3 7 10 2 6 8 -1 -1 -2 70.00 75.00
90 MUFG Securities Asia Limited 3 4 7 3 5 8 0 1 1 57.14 62.50 2010-12-31
91 Octal Capital Limited 0 0 0 5 3 8 5 3 8 - 37.50 2011-06-01
92 XinKong International Securities Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2010-01-22 2018-02-22
93 CHINA EVERBRIGHT SECURITIES (HK) LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14
94 EXS Capital Asia Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-06-12
95 HALCYON CAPITAL LIMITED (HK) 0 0 0 3 4 7 3 4 7 - 57.14 2012-12-06
96 IVORY CAPITAL PRIVATE LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14 2007-03-21 2025-07-09
97 NEW SPRING CAPITAL LIMITED 2 6 8 3 4 7 1 -2 -1 75.00 57.14 2011-06-17 2020-07-09
98 PLATINUM SECURITIES COMPANY LIMITED 4 5 9 4 3 7 0 -2 -2 55.56 42.86
99 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2008-03-27
100 SOUTH CHINA CAPITAL LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43
101 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14
102 VEDA CAPITAL LIMITED (HK) 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2005-12-28
103 Wealth Legend Asset Management Limited 2 1 3 2 5 7 0 4 4 33.33 71.43 2022-09-09
104 YU MING INVESTMENT MANAGEMENT LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
105 Anuenue Capital International Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2005-08-30
106 ASIA INVESTMENT MANAGEMENT LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2021-10-08
107 CC Real Estate Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2010-08-04 2020-01-08
108 CC SIF Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2008-07-07
109 China Securities (International) Corporate Finance Company Limited 0 0 0 3 3 6 3 3 6 - 50.00 2013-04-08
110 Goldin Financial Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2009-06-01 2019-03-28
111 INCU CORPORATE FINANCE LIMITED 3 3 6 2 4 6 -1 1 0 50.00 66.67
112 Kaiser KT Capital Limited 3 0 3 3 3 6 0 3 3 0.00 50.00
113 KINGSTON CORPORATE FINANCE LIMITED 3 6 9 2 4 6 -1 -2 -3 66.67 66.67
114 Milma & Co. Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2008-09-24 2020-03-03
115 Proton Capital Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2007-10-16
116 Quam Securities Limited 0 0 0 3 3 6 3 3 6 - 50.00 2012-05-25
117 RaffAello Capital Limited 0 0 0 4 2 6 4 2 6 - 33.33 2012-07-05
118 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 0 5 5 1 6 0 1 1 0.00 16.67 2015-07-16
119 TC Capital International Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2010-08-11
120 TIAN YUAN FINANCE LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2020-04-20
121 VISION FINANCE INTERNATIONAL COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2007-11-29
122 Argonaut Securities (Asia) Limited 3 1 4 3 2 5 0 1 1 25.00 40.00 2011-09-08 2021-12-07
123 Astrum Capital Management Limited (HK) 0 0 0 3 2 5 3 2 5 - 40.00 2012-09-19
124 BaoQiao Partners Capital Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-03-05
125 CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00
126 China Everbright Global Investment Advisors Company Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-09
127 CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2013-01-09
128 China Renaissance Securities (Hong Kong) Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-10-24
129 DAEWOO SECURITIES (HONG KONG) LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2012-02-17 2017-02-28
130 F.E. Corporate Finance Advisory Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-03 2020-05-04
131 FIRST SHANGHAI SECURITIES LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
132 Fosun International Securities Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2024-04-17
133 FULBRIGHT CAPITAL LIMITED 4 2 6 2 3 5 -2 1 -1 33.33 60.00 2011-06-14 2015-04-20
134 HAITONG INTERNATIONAL CAPITAL (HK) LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2008-07-24 2020-02-21
135 Income Partners Asset Management (HK) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2025-03-24
136 KGI CAPITAL ASIA LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2022-05-12
137 Mason Securities Limited 1 0 1 2 3 5 1 3 4 0.00 60.00 2018-07-12
138 MIB SECURITIES (HONG KONG) LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2012-05-21 2020-02-05
139 Oshidori Corporate Finance Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00
140 PacBridge Capital Partners (HK) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-03-17 2016-01-27
141 PRESIDENT SECURITIES (HONG KONG) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-06-20 2022-09-14
142 Religare Capital Markets (Hong Kong) Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-05-14 2014-10-07
143 UOB KAY HIAN (HONG KONG) LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
144 VMS Securities Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2024-04-23
145 Ark Securities (Hong Kong) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00
146 ASIAN CAPITAL PARTNERS (HK) LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
147 Beijing Securities Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2008-11-07
148 BlackRock Asset Management North Asia Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2004-11-01
149 Changjiang Corporate Finance (HK) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2012-06-29
150 CONVOY CAPITAL HONG KONG LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2012-08-23 2022-09-14
151 GET NICE SECURITIES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
152 GSI FINANCE GROUP LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-03-18 2023-08-17
153 HARMONY ASSET MANAGEMENT LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-28
154 HERCULES CAPITAL LIMITED (b2002-05-21) 2 2 4 2 2 4 0 0 0 50.00 50.00 2019-01-30
155 HOORAY CAPITAL LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
156 KARL THOMSON FINANCIAL ADVISORY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
157 KCG SECURITIES ASIA LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00
158 LUMINARY CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2007-11-14 2021-11-01
159 Odysseus Capital Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2009-10-29
160 PARTNERS CAPITAL INTERNATIONAL LIMITED 5 2 7 2 2 4 -3 0 -3 28.57 50.00
161 Ping An of China Capital (Hong Kong) Company Limited 1 0 1 3 1 4 2 1 3 0.00 25.00 2010-12-07
162 PRUDENTIAL BROKERAGE LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
163 STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00 2005-06-20 2015-07-16
164 Tenacity Partners Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-08-13 2013-12-17
165 Wells Fargo Securities Asia Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-04-25
166 Amasse Capital Limited 0 0 0 3 0 3 3 0 3 - 0.00 2012-07-13
167 Asia Pacific Financial Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
168 ASIA PACIFIC INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
169 Bauhinia Capital Partners Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-01-09 2018-05-24
170 BOOMWELL INVESTMENTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2019-12-17
171 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
172 CBRE Investment Management (Asia) Limited 2 2 4 1 2 3 -1 0 -1 50.00 66.67 2013-06-18
173 CHIEF FINANCIAL CAPITAL LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2013-03-14
174 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
175 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-06-30
176 CORE PACIFIC-YAMAICHI CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
177 CTBC Asia Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-19
178 CUPOLA CAPITAL LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-03-26
179 ENHANCED INVESTMENT PRODUCTS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-01-06 2019-10-31
180 EVER-LONG SECURITIES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2025-03-27
181 FRONTIER CAPITAL INVESTMENT LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2013-01-29 2022-01-14
182 Funderstone Securities Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
183 GRANSING SECURITIES CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
184 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2005-06-06 2015-11-04
185 HUA YU INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
186 I-ACCESS INVESTORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-11-18 2022-08-23
187 JK Capital Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-03-25
188 MANGO FINANCIAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
189 North Asia Strategic Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-04-04 2014-04-17
190 PHOENIX CAPITAL ASIA LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-12-21
191 PO KAY SECURITIES & SHARES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
192 QH CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-07-22 2021-08-24
193 SDHG International Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-12-02
194 SK Securities Hong Kong Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-01-20 2014-12-19
195 SMBC Nikko Securities (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2012-07-20
196 TRANSPAC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
197 UPBEST SECURITIES COMPANY LIMITED 2 2 4 1 2 3 -1 0 -1 50.00 66.67
198 VICTORIA CAPITAL LIMITED (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-04-01
199 Xeram and Company (Asia) Limited 2 3 5 3 0 3 1 -3 -2 60.00 0.00 2003-12-19 2015-11-27
200 Yuanta Securities (Hong Kong) Company Limited 6 6 12 1 2 3 -5 -4 -9 50.00 66.67 2006-07-08
201 ZhongHua Finance Capital Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-05-26 2021-02-22
202 ACM ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
203 Allard Partners Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-09-17
204 ANGLO CHINESE SECURITIES, LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
205 Anuenue Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
206 Arta Corporate Advisory Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-09-11
207 Austin Asia Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-14 2020-12-29
208 BAYA CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-01-09 2014-10-24
209 CENTURION CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
210 CERES CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-08-08
211 CHELSEA SECURITIES LIMITED (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00
212 CHINA ASSETS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
213 China Reserve Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-08-03
214 CNI GLOBAL CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
215 Cynosure Asset Management Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-09-27
216 EVOLUTION ASIA INVESTMENTS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2020-01-24
217 EXCELSIOR CAPITAL ASIA (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
218 FIRST ASIA FINANCE GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-01-29
219 Fortune Origin Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-30 2024-07-15
220 GET NICE CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
221 GO-TO-ASIA INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-02-12
222 Golden Jade Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-07-23 2021-08-25
223 GUANGDONG (INTERNATIONAL) CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2025-06-05
224 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
225 HONG KONG INTERNATIONAL CAPITAL MANAGEMENT LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
226 Huizhi International Capital Holdings Co., Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
227 Innoform-Ashfield Capital Limited 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2007-08-07 2014-01-23
228 IREALITY INVESTMENTS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
229 JOINCAP CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-01-10
230 JOLMO CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-01-23 2021-08-31
231 KB Securities Hong Kong Limited 2 3 5 2 0 2 0 -3 -3 60.00 0.00
232 KGI Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-11-22
233 OASIS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
234 Oppenheimer Investments Asia Limited 0 2 2 1 1 2 1 -1 0 100.00 50.00 2010-02-12 2017-07-05
235 ORION INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-11-06 2016-12-14
236 REDFORD CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-02-07
237 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
238 SALISBURY SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-31 2013-08-30
239 SHENG YUAN CAPITAL (HONG KONG) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-12-05
240 Silk Road International Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
241 SIMPSON FINANCIAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-05-11
242 SPDB International Holdings Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-12-30
243 SPS INVESTMENT SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-13
244 SSC MANDARIN FINANCIAL SERVICES LIMITED 1 2 3 2 0 2 1 -2 -1 66.67 0.00 2004-02-05 2015-03-27
245 STJ Advisors (Asia) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-11-17 2017-03-02
246 SUN RAISE CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-09-06
247 TAIPING CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-12
248 VBG Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-04-20
249 VISION FINANCE (SECURITIES) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-03-13
250 CHIEF CAPITAL LIMITED 2 3 5 1 0 1 -1 -3 -4 60.00 0.00 2005-07-14 2013-07-15
251 Daishin Securities Asia Limited 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-09-21 2014-01-30
252 JAPAN ASIA ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-08-20
253 UPBEST ASSETS MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
254 Yuanta Asia Investment (Hong Kong) Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2010-03-10 2013-11-01
255 ASM ADVISORY LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2009-11-30 2012-10-26
256 CHINA TONG BAO INSURANCE BROKERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-05-13
257 Credit Suisse Securities (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-06-14
258 CSC ASIA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-04-08
259 FE SECURITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-12-28
260 KBR Fund Management Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-01-08 2012-06-19
261 Keefe, Bruyette & Woods Asia Limited 3 3 6 0 0 0 -3 -3 -6 50.00 - 2010-03-03 2013-04-24
262 Mirae Asset Securities (HK) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-10-09 2013-01-30
263 ONG PACIFIC CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2013-01-29
264 PIPER JAFFRAY ASIA LIMITED 5 19 24 0 0 0 -5 -19 -24 79.17 - 2013-01-24
265 RBC Capital Markets (Hong Kong) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2011-11-09 2012-11-01
266 RBC Capital Markets (Hong Kong) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2012-11-01 2016-07-26
267 Renaissance Capital (Hong Kong) Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2010-11-18 2012-09-28
268 SAMSUNG SECURITIES (ASIA) LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2012-09-14
269 South West Capital Limited (d2013-12-11) 5 7 12 0 0 0 -5 -7 -12 58.33 - 2011-06-30 2013-04-26
270 STANHILL (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-05-23
271 Yuanta Financial (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-11-23 2012-09-13
Average 3.64 13.55 17.19 3.48 13.51 16.99 78.81 79.49

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