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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-06-30 2013-06-30 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 9 209 218 8 239 247 -1 30 29 95.87 96.76 2012-06-07 2016-12-18
2 Morgan Stanley Asia Limited 15 239 254 13 207 220 -2 -32 -34 94.09 94.09
3 Citigroup Global Markets Asia Limited 9 241 250 9 206 215 0 -35 -35 96.40 95.81
4 BARCLAYS CAPITAL ASIA LIMITED 13 179 192 11 141 152 -2 -38 -40 93.23 92.76
5 Merrill Lynch (Asia Pacific) Limited 7 131 138 8 142 150 1 11 12 94.93 94.67
6 Merrill Lynch Far East Limited 7 131 138 8 142 150 1 11 12 94.93 94.67 2025-01-16
7 GOLDMAN SACHS (ASIA) L.L.C. 20 128 148 18 127 145 -2 -1 -3 86.49 87.59
8 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 7 132 139 10 127 137 3 -5 -2 94.96 92.70 2008-08-20
9 J.P. MORGAN SECURITIES (FAR EAST) LIMITED 8 153 161 9 121 130 1 -32 -31 95.03 93.08
10 HSBC Corporate Finance (Hong Kong) Limited 6 109 115 9 116 125 3 7 10 94.78 92.80 2012-03-09
11 DEUTSCHE SECURITIES ASIA LIMITED 8 120 128 9 110 119 1 -10 -9 93.75 92.44 2012-03-02
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 7 119 126 5 104 109 -2 -15 -17 94.44 95.41
13 Credit Suisse (Hong Kong) Limited 18 155 173 12 96 108 -6 -59 -65 89.60 88.89 2024-01-30
14 BOCI ASIA LIMITED 8 82 90 7 87 94 -1 5 4 91.11 92.55
15 MACQUARIE CAPITAL LIMITED 11 66 77 9 64 73 -2 -2 -4 85.71 87.67
16 Macquarie Corporate (Hong Kong) Limited 11 66 77 9 64 73 -2 -2 -4 85.71 87.67 2017-10-10
17 CCB INTERNATIONAL CAPITAL LIMITED 9 64 73 10 50 60 1 -14 -13 87.67 83.33 2004-05-27
18 ICBC INTERNATIONAL CAPITAL LIMITED 16 51 67 8 51 59 -8 0 -8 76.12 86.44 2008-05-27
19 CGS International Securities Hong Kong Limited 6 14 20 10 40 50 4 26 30 70.00 80.00 2019-10-10
20 CSI Corporate Finance (HK) Limited 9 43 52 9 39 48 0 -4 -4 82.69 81.25 2019-03-29
21 BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED 7 50 57 5 42 47 -2 -8 -10 87.72 89.36 2017-06-06
22 BNP PARIBAS SECURITIES (ASIA) LIMITED 0 0 0 5 42 47 5 42 47 - 89.36 2013-03-28
23 Standard Chartered Securities (Hong Kong) Limited 10 34 44 9 36 45 -1 2 1 77.27 80.00 2020-09-14
24 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 11 25 36 11 28 39 0 3 3 69.44 71.79
25 Rothschild & Co Hong Kong Limited 3 37 40 3 35 38 0 -2 -2 92.50 92.11 2005-04-27
26 Daiwa Capital Markets Hong Kong Limited 8 55 63 7 30 37 -1 -25 -26 87.30 81.08
27 BOCOM International (Asia) Limited 7 19 26 7 23 30 0 4 4 73.08 76.67 2007-09-21
28 GUOTAI JUNAN CAPITAL LIMITED 6 22 28 7 23 30 1 1 2 78.57 76.67
29 HAITONG INTERNATIONAL CAPITAL LIMITED 7 24 31 7 22 29 0 -2 -2 77.42 75.86
30 Jefferies Hong Kong Limited 3 13 16 5 24 29 2 11 13 81.25 82.76 2010-01-04
31 RBS Asia Corporate Finance Limited 2 38 40 2 27 29 0 -11 -11 95.00 93.10 2014-08-15
32 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED 6 13 19 5 20 25 -1 7 6 68.42 80.00
33 Shang International Finance Limited 10 15 25 10 15 25 0 0 0 60.00 60.00 2024-01-26
34 KINGSWAY CAPITAL LIMITED 6 15 21 6 17 23 0 2 2 71.43 73.91
35 MIZUHO SECURITIES ASIA LIMITED 7 19 26 7 16 23 0 -3 -3 73.08 69.57
36 ABCI CAPITAL LIMITED 3 18 21 6 16 22 3 -2 1 85.71 72.73 2011-03-17
37 CHINA EVERBRIGHT CAPITAL LIMITED 5 19 24 5 15 20 0 -4 -4 79.17 75.00
38 SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED 6 21 27 6 14 20 0 -7 -7 77.78 70.00
39 CITIC Securities (Hong Kong) Limited 5 18 23 5 14 19 0 -4 -4 78.26 73.68
40 CMB International Capital Limited 3 14 17 3 16 19 0 2 2 82.35 84.21 2010-09-07
41 Quam Capital Limited (b1994-08-04) 6 14 20 7 12 19 1 -2 -1 70.00 63.16
42 Yunfeng Financial Markets Limited 5 10 15 4 15 19 -1 5 4 66.67 78.95 2023-10-16
43 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) 7 8 15 7 10 17 0 2 2 53.33 58.82
44 CVC Asia Pacific Limited 3 11 14 3 14 17 0 3 3 78.57 82.35
45 AMPLE CAPITAL LIMITED 7 10 17 7 9 16 0 -1 -1 58.82 56.25
46 CITIC CLSA Capital Partners HK Limited 3 13 16 2 14 16 -1 1 0 81.25 87.50 2019-09-24
47 DBS ASIA CAPITAL LIMITED 8 12 20 6 10 16 -2 -2 -4 60.00 62.50
48 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 10 22 32 5 11 16 -5 -11 -16 68.75 68.75 2010-06-30
49 Evercore Asia Limited 4 8 12 4 11 15 0 3 3 66.67 73.33 2011-03-04
50 Neutral Financial Holding Company Limited 5 12 17 4 11 15 -1 -1 -2 70.59 73.33
51 Optima Capital Limited 4 14 18 3 12 15 -1 -2 -3 77.78 80.00
52 BLACKSTONE GROUP (HK) LIMITED (THE) 2 9 11 2 12 14 0 3 3 81.82 85.71 2010-10-20 2015-04-08
53 GF Capital (Hong Kong) Limited 5 10 15 5 9 14 0 -1 -1 66.67 64.29 2007-01-31
54 Houlihan Lokey (China) Limited 2 7 9 2 12 14 0 5 5 77.78 85.71 2008-10-09
55 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED 5 10 15 5 9 14 0 -1 -1 66.67 64.29 2024-03-11
56 CELESTIAL CAPITAL LIMITED 3 11 14 3 10 13 0 -1 -1 78.57 76.92 2022-05-27
57 MOELIS & COMPANY ASIA LIMITED 2 11 13 2 11 13 0 0 0 84.62 84.62 2009-12-11
58 StormHarbour Securities (Hong Kong) Limited 3 9 12 3 10 13 0 1 1 75.00 76.92 2010-03-18
59 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 6 12 6 6 12 0 0 0 50.00 50.00 2007-07-04
60 China Galaxy International Securities (Hong Kong) Co., Limited 0 0 0 3 9 12 3 9 12 - 75.00 2012-07-23
61 CINDA INTERNATIONAL CAPITAL LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
62 Joy Silver Limited 4 6 10 5 7 12 1 1 2 60.00 58.33 2014-03-17
63 ORIENTAL PATRON ASIA LIMITED 4 6 10 5 7 12 1 1 2 60.00 58.33
64 RHB CAPITAL HONG KONG LIMITED 4 6 10 3 9 12 -1 3 2 60.00 75.00 2020-11-17
65 T G HOLBORN (HK) LIMITED 2 11 13 2 10 12 0 -1 -1 84.62 83.33 2014-04-29
66 Templewater Hong Kong Limited 4 6 10 5 7 12 1 1 2 60.00 58.33 2018-10-11
67 ALTUS CAPITAL LIMITED 3 8 11 3 8 11 0 0 0 72.73 72.73
68 Chanceton Capital Partners Limited 4 5 9 5 6 11 1 1 2 55.56 54.55 2022-11-10
69 CLC International Limited 0 0 0 4 7 11 4 7 11 - 63.64 2012-12-07 2022-10-26
70 EMPEROR CORPORATE FINANCE LIMITED 4 5 9 4 7 11 0 2 2 55.56 63.64
71 Huajin Corporate Finance (International) Limited 4 8 12 4 7 11 0 -1 -1 66.67 63.64
72 MESSIS CAPITAL LIMITED 5 5 10 5 6 11 0 1 1 50.00 54.55
73 CC Finance Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2006-04-20 2025-06-19
74 Everbright Securities Global (HK) Limited 3 14 17 3 7 10 0 -7 -7 82.35 70.00 2024-06-20
75 FORTUNE FINANCIAL CAPITAL LIMITED 4 4 8 5 5 10 1 1 2 50.00 50.00 2009-03-12
76 JW CAPITAL SECURITIES LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00
77 CHINA MERCHANTS CHINA INVESTMENT MANAGEMENT LIMITED 3 5 8 3 6 9 0 1 1 62.50 66.67
78 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
79 DONVEX CAPITAL LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2009-01-29
80 Nuada Limited 5 1 6 8 1 9 3 0 3 16.67 11.11 2004-01-15
81 Octal Capital Limited 0 0 0 5 4 9 5 4 9 - 44.44 2011-06-01
82 SINOPAC SECURITIES (ASIA) LIMITED 1 2 3 5 4 9 4 2 6 66.67 44.44 2016-10-31
83 XinKong International Securities Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2010-01-22 2018-02-22
84 Zijing Capital Limited 3 7 10 4 5 9 1 -2 -1 70.00 55.56 2003-05-07
85 CNCB (Hong Kong) Capital Limited 2 3 5 1 7 8 -1 4 3 60.00 87.50 2010-10-27
86 FIRST SHANGHAI CAPITAL LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00
87 HALCYON CAPITAL LIMITED (HK) 0 0 0 3 5 8 3 5 8 - 62.50 2012-12-06
88 KPMG CORPORATE FINANCE LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
89 LAZARD ASIA (HONG KONG) LIMITED 4 7 11 2 6 8 -2 -1 -3 63.64 75.00
90 MUFG Securities Asia Limited 2 4 6 3 5 8 1 1 2 66.67 62.50 2010-12-31
91 PLATINUM SECURITIES COMPANY LIMITED 4 5 9 4 4 8 0 -1 -1 55.56 50.00
92 RaffAello Capital Limited 0 0 0 4 4 8 4 4 8 - 50.00 2012-07-05
93 SDICS International Corporate Finance (Hong Kong) Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2010-09-01
94 VC CAPITAL LIMITED 6 7 13 4 4 8 -2 -3 -5 53.85 50.00
95 VEDA CAPITAL LIMITED (HK) 4 4 8 3 5 8 -1 1 0 50.00 62.50 2005-12-28
96 CHINA EVERBRIGHT SECURITIES (HK) LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14
97 China Securities (International) Corporate Finance Company Limited 0 0 0 3 4 7 3 4 7 - 57.14 2013-04-08
98 EXS Capital Asia Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-06-12
99 IVORY CAPITAL PRIVATE LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2007-03-21 2025-07-09
100 Kaiser KT Capital Limited 3 1 4 4 3 7 1 2 3 25.00 42.86
101 NEW SPRING CAPITAL LIMITED 2 6 8 3 4 7 1 -2 -1 75.00 57.14 2011-06-17 2020-07-09
102 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2008-03-27
103 SOUTH CHINA CAPITAL LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43
104 TC Capital International Limited 3 2 5 3 4 7 0 2 2 40.00 57.14 2010-08-11
105 Wealth Legend Asset Management Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2022-09-09
106 YU MING INVESTMENT MANAGEMENT LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
107 Anuenue Capital International Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2005-08-30
108 ASIA INVESTMENT MANAGEMENT LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2021-10-08
109 CC Real Estate Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2010-08-04 2020-01-08
110 CC SIF Advisory Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2008-07-07
111 CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
112 China Renaissance Securities (Hong Kong) Limited 0 0 0 3 3 6 3 3 6 - 50.00 2012-10-24
113 DL SECURITIES (HK) LIMITED 0 0 0 3 3 6 3 3 6 - 50.00 2012-09-04
114 Goldin Financial Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2009-06-01 2019-03-28
115 INCU CORPORATE FINANCE LIMITED 3 3 6 2 4 6 -1 1 0 50.00 66.67
116 KGI CAPITAL ASIA LIMITED 5 3 8 3 3 6 -2 0 -2 37.50 50.00 2022-05-12
117 KINGSTON CORPORATE FINANCE LIMITED 3 6 9 2 4 6 -1 -2 -3 66.67 66.67
118 Milma & Co. Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2008-09-24 2020-03-03
119 Ping An of China Capital (Hong Kong) Company Limited 2 0 2 3 3 6 1 3 4 0.00 50.00 2010-12-07
120 Proton Capital Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2007-10-16
121 Quam Securities Limited 2 2 4 3 3 6 1 1 2 50.00 50.00 2012-05-25
122 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00
123 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 1 6 5 1 6 0 0 0 16.67 16.67 2015-07-16
124 TIAN YUAN FINANCE LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2020-04-20
125 VISION FINANCE INTERNATIONAL COMPANY LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2007-11-29
126 Astrum Capital Management Limited (HK) 0 0 0 3 2 5 3 2 5 - 40.00 2012-09-19
127 Changjiang Corporate Finance (HK) Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2012-06-29
128 China Everbright Global Investment Advisors Company Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-09
129 CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-01-09
130 DAEWOO SECURITIES (HONG KONG) LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2012-02-17 2017-02-28
131 F.E. Corporate Finance Advisory Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-03 2020-05-04
132 FIRST SHANGHAI SECURITIES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
133 Fosun International Securities Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2024-04-17
134 FULBRIGHT CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2011-06-14 2015-04-20
135 HAITONG INTERNATIONAL CAPITAL (HK) LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2008-07-24 2020-02-21
136 Income Partners Asset Management (HK) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2025-03-24
137 MIB SECURITIES (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2012-05-21 2020-02-05
138 Odysseus Capital Asia Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2009-10-29
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 UOB KAY HIAN (HONG KONG) LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
142 VMS Securities Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2024-04-23
143 Argonaut Securities (Asia) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2011-09-08 2021-12-07
144 Ark Securities (Hong Kong) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00
145 ASIAN CAPITAL PARTNERS (HK) LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
146 BaoQiao Partners Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2008-03-05
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 3 5 3 1 4 1 -2 -1 60.00 25.00 2004-11-01
149 CHIEF FINANCIAL CAPITAL LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2013-03-14
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 1 3 2 2 4 0 1 1 33.33 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 KARL THOMSON FINANCIAL ADVISORY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
156 KCG SECURITIES ASIA LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00
157 LUMINARY CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2007-11-14 2021-11-01
158 Mason Securities Limited 1 1 2 1 3 4 0 2 2 50.00 75.00 2018-07-12
159 PARTNERS CAPITAL INTERNATIONAL LIMITED 5 3 8 2 2 4 -3 -1 -4 37.50 50.00
160 PRESIDENT SECURITIES (HONG KONG) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2007-06-20 2022-09-14
161 PRUDENTIAL BROKERAGE LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
162 Religare Capital Markets (Hong Kong) Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2012-05-14 2014-10-07
163 SK Securities Hong Kong Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2012-01-20 2014-12-19
164 SMBC Nikko Securities (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2012-07-20
165 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
166 TAIPING CAPITAL LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2013-04-12
167 Wells Fargo Securities Asia Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-04-25
168 Amasse Capital Limited 0 0 0 3 0 3 3 0 3 - 0.00 2012-07-13
169 Asia Pacific Financial Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
170 ASIA PACIFIC INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
171 Bauhinia Capital Partners Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-01-09 2018-05-24
172 BOOMWELL INVESTMENTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2019-12-17
173 CAPE ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-10-15
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 3 0 3 1 -1 0 33.33 0.00 2016-06-30
176 CORE PACIFIC-YAMAICHI CAPITAL LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00
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 HONG KONG INTERNATIONAL CAPITAL MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33
185 HOORAY CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
186 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
187 HUA YU INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
188 I-ACCESS INVESTORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-11-18 2022-08-23
189 JK Capital Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-03-25
190 MANGO FINANCIAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
191 North Asia Strategic Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-04-04 2014-04-17
192 PHOENIX CAPITAL ASIA LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2022-12-21
193 PO KAY SECURITIES & SHARES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
194 QH CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-07-22 2021-08-24
195 REDFORD CORPORATE FINANCE LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-02-07
196 SDHG International Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-12-02
197 Tenacity Partners Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-08-13 2013-12-17
198 TRANSPAC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
199 UPBEST SECURITIES COMPANY LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67
200 VICTORIA CAPITAL LIMITED (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-04-01
201 Yuanta Securities (Hong Kong) Company Limited 7 6 13 1 2 3 -6 -4 -10 46.15 66.67 2006-07-08
202 ZhongHua Finance Capital Co., Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-05-26 2021-02-22
203 ACM ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
204 Allard Partners Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-09-17
205 ANGLO CHINESE SECURITIES, LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
206 Anuenue Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
207 Arta Corporate Advisory Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-09-11
208 Austin Asia Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-14 2020-12-29
209 BAYA CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-01-09 2014-10-24
210 CENTURION CORPORATE FINANCE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
211 CERES CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-08-08
212 CHELSEA SECURITIES LIMITED (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00
213 CHINA ASSETS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
214 China Reserve Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-08-03
215 CNI GLOBAL CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
216 Cynosure Asset Management Hong Kong Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-09-27
217 EVOLUTION ASIA INVESTMENTS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2020-01-24
218 EXCELSIOR CAPITAL ASIA (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
219 FIRST ASIA FINANCE GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-01-29
220 Fortune Origin Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-30 2024-07-15
221 GET NICE CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
222 GO-TO-ASIA INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-02-12
223 Golden Jade Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-07-23 2021-08-25
224 GUANGDONG (INTERNATIONAL) CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2025-06-05
225 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 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 2 4 2 0 2 0 -2 -2 50.00 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 1 2 3 1 1 2 0 -1 -1 66.67 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 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
237 SALISBURY SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-31 2013-08-30
238 SHENG YUAN CAPITAL (HONG KONG) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-12-05
239 Silk Road International Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
240 SIMPSON FINANCIAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-05-11
241 SPDB International Holdings Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2015-12-30
242 SPS INVESTMENT SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-13
243 SSC MANDARIN FINANCIAL SERVICES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2004-02-05 2015-03-27
244 STJ Advisors (Asia) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-11-17 2017-03-02
245 SUN RAISE CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-09-06
246 VBG Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-04-20
247 VISION FINANCE (SECURITIES) LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2008-03-13
248 Xeram and Company (Asia) Limited 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2003-12-19 2015-11-27
249 CHIEF CAPITAL LIMITED 2 3 5 1 0 1 -1 -3 -4 60.00 0.00 2005-07-14 2013-07-15
250 Daishin Securities Asia Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-09-21 2014-01-30
251 JAPAN ASIA ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-08-20
252 UPBEST ASSETS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
253 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
254 CBRE Investment Management (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-06-18
255 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2013-05-13
256 CSC ASIA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-04-08
257 FE SECURITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-12-28
258 Keefe, Bruyette & Woods Asia Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2010-03-03 2013-04-24
259 Mirae Asset Securities (HK) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2007-10-09 2013-01-30
260 ONG PACIFIC CAPITAL LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2013-01-29
261 PIPER JAFFRAY ASIA LIMITED 4 19 23 0 0 0 -4 -19 -23 82.61 - 2013-01-24
262 RBC Capital Markets (Hong Kong) Limited 3 6 9 0 0 0 -3 -6 -9 66.67 - 2011-11-09 2012-11-01
263 RBC Capital Markets (Hong Kong) Limited 3 6 9 0 0 0 -3 -6 -9 66.67 - 2012-11-01 2016-07-26
264 SAMSUNG SECURITIES (ASIA) LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-09-14
265 South West Capital Limited (d2013-12-11) 5 4 9 0 0 0 -5 -4 -9 44.44 - 2011-06-30 2013-04-26
266 STANHILL (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-05-23
267 Yuanta Financial (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-11-23 2012-09-13
Average 3.60 14.38 17.98 3.51 13.39 16.90 80.00 79.23

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