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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-09-30 2013-09-30 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 8 254 262 8 238 246 0 -16 -16 96.95 96.75 2012-06-07 2016-12-18
2 Morgan Stanley Asia Limited 15 242 257 15 213 228 0 -29 -29 94.16 93.42
3 Citigroup Global Markets Asia Limited 9 248 257 9 212 221 0 -36 -36 96.50 95.93
4 BARCLAYS CAPITAL ASIA LIMITED 12 200 212 11 154 165 -1 -46 -47 94.34 93.33
5 Merrill Lynch (Asia Pacific) Limited 7 140 147 14 146 160 7 6 13 95.24 91.25
6 Merrill Lynch Far East Limited 7 140 147 14 146 160 7 6 13 95.24 91.25 2025-01-16
7 GOLDMAN SACHS (ASIA) L.L.C. 19 129 148 19 132 151 0 3 3 87.16 87.42
8 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 9 126 135 9 137 146 0 11 11 93.33 93.84 2008-08-20
9 J.P. MORGAN SECURITIES (FAR EAST) LIMITED 9 160 169 8 130 138 -1 -30 -31 94.67 94.20
10 HSBC Corporate Finance (Hong Kong) Limited 7 115 122 9 118 127 2 3 5 94.26 92.91 2012-03-09
11 Credit Suisse (Hong Kong) Limited 14 131 145 11 102 113 -3 -29 -32 90.34 90.27 2024-01-30
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 6 115 121 5 107 112 -1 -8 -9 95.04 95.54
13 DEUTSCHE SECURITIES ASIA LIMITED 9 121 130 10 101 111 1 -20 -19 93.08 90.99 2012-03-02
14 BOCI ASIA LIMITED 6 87 93 9 87 96 3 0 3 93.55 90.63
15 MACQUARIE CAPITAL LIMITED 7 63 70 10 68 78 3 5 8 90.00 87.18
16 Macquarie Corporate (Hong Kong) Limited 7 63 70 10 68 78 3 5 8 90.00 87.18 2017-10-10
17 CCB INTERNATIONAL CAPITAL LIMITED 9 63 72 9 48 57 0 -15 -15 87.50 84.21 2004-05-27
18 CSI Corporate Finance (HK) Limited 10 41 51 10 46 56 0 5 5 80.39 82.14 2019-03-29
19 ICBC INTERNATIONAL CAPITAL LIMITED 12 51 63 10 45 55 -2 -6 -8 80.95 81.82 2008-05-27
20 BNP PARIBAS SECURITIES (ASIA) LIMITED 0 0 0 5 45 50 5 45 50 - 90.00 2013-03-28
21 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 16 31 47 10 39 49 -6 8 2 65.96 79.59
22 CGS International Securities Hong Kong Limited 12 46 58 10 38 48 -2 -8 -10 79.31 79.17 2019-10-10
23 BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED 7 48 55 5 41 46 -2 -7 -9 87.27 89.13 2017-06-06
24 Standard Chartered Securities (Hong Kong) Limited 8 35 43 9 36 45 1 1 2 81.40 80.00 2020-09-14
25 Rothschild & Co Hong Kong Limited 3 36 39 3 34 37 0 -2 -2 92.31 91.89 2005-04-27
26 Daiwa Capital Markets Hong Kong Limited 7 44 51 7 26 33 0 -18 -18 86.27 78.79
27 GUOTAI JUNAN CAPITAL LIMITED 8 20 28 7 25 32 -1 5 4 71.43 78.13
28 Jefferies Hong Kong Limited 4 15 19 5 27 32 1 12 13 78.95 84.38 2010-01-04
29 HAITONG INTERNATIONAL CAPITAL LIMITED 6 25 31 7 24 31 1 -1 0 80.65 77.42
30 BOCOM International (Asia) Limited 7 21 28 7 23 30 0 2 2 75.00 76.67 2007-09-21
31 MIZUHO SECURITIES ASIA LIMITED 8 18 26 9 18 27 1 0 1 69.23 66.67
32 RBS Asia Corporate Finance Limited 2 39 41 2 25 27 0 -14 -14 95.12 92.59 2014-08-15
33 DELOITTE & TOUCHE CORPORATE FINANCE LIMITED 6 16 22 5 21 26 -1 5 4 72.73 80.77
34 Shang International Finance Limited 10 15 25 10 15 25 0 0 0 60.00 60.00 2024-01-26
35 ABCI CAPITAL LIMITED 4 20 24 6 18 24 2 -2 0 83.33 75.00 2011-03-17
36 SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED 6 19 25 6 18 24 0 -1 -1 76.00 75.00
37 KINGSWAY CAPITAL LIMITED 6 14 20 6 17 23 0 3 3 70.00 73.91
38 CHINA EVERBRIGHT CAPITAL LIMITED 5 21 26 5 16 21 0 -5 -5 80.77 76.19
39 Quam Capital Limited (b1994-08-04) 5 12 17 7 13 20 2 1 3 70.59 65.00
40 AMPLE CAPITAL LIMITED 7 11 18 8 11 19 1 0 1 61.11 57.89
41 CITIC Securities (Hong Kong) Limited 4 17 21 5 14 19 1 -3 -2 80.95 73.68
42 PRICEWATERHOUSECOOPERS CORPORATE FINANCE LIMITED 5 9 14 6 13 19 1 4 5 64.29 68.42 2024-03-11
43 Yunfeng Financial Markets Limited 5 11 16 4 15 19 -1 4 3 68.75 78.95 2023-10-16
44 CMB International Capital Limited 3 14 17 3 15 18 0 1 1 82.35 83.33 2010-09-07
45 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) 7 10 17 7 10 17 0 0 0 58.82 58.82
46 BLACKSTONE GROUP (HK) LIMITED (THE) 2 10 12 2 15 17 0 5 5 83.33 88.24 2010-10-20 2015-04-08
47 CVC Asia Pacific Limited 3 12 15 3 14 17 0 2 2 80.00 82.35
48 DBS ASIA CAPITAL LIMITED 7 15 22 6 10 16 -1 -5 -6 68.18 62.50
49 Neutral Financial Holding Company Limited 4 12 16 5 11 16 1 -1 0 75.00 68.75
50 CITIC CLSA Capital Partners HK Limited 3 14 17 2 13 15 -1 -1 -2 82.35 86.67 2019-09-24
51 GF Capital (Hong Kong) Limited 5 10 15 5 10 15 0 0 0 66.67 66.67 2007-01-31
52 GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED 7 18 25 4 11 15 -3 -7 -10 72.00 73.33 2010-06-30
53 Houlihan Lokey (China) Limited 2 7 9 2 13 15 0 6 6 77.78 86.67 2008-10-09
54 Optima Capital Limited 4 14 18 3 12 15 -1 -2 -3 77.78 80.00
55 CINDA INTERNATIONAL CAPITAL LIMITED 4 11 15 4 10 14 0 -1 -1 73.33 71.43
56 China Galaxy International Securities (Hong Kong) Co., Limited 3 3 6 3 10 13 0 7 7 50.00 76.92 2012-07-23
57 Evercore Asia Limited 4 9 13 3 10 13 -1 1 0 69.23 76.92 2011-03-04
58 MOELIS & COMPANY ASIA LIMITED 2 13 15 2 11 13 0 -2 -2 86.67 84.62 2009-12-11
59 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 6 6 12 6 6 12 0 0 0 50.00 50.00 2007-07-04
60 CELESTIAL CAPITAL LIMITED 3 11 14 3 9 12 0 -2 -2 78.57 75.00 2022-05-27
61 China Securities (International) Corporate Finance Company Limited 0 0 0 5 7 12 5 7 12 - 58.33 2013-04-08
62 KGI Asset Management Limited 2 0 2 3 9 12 1 9 10 0.00 75.00 2016-11-22
63 StormHarbour Securities (Hong Kong) Limited 3 9 12 3 9 12 0 0 0 75.00 75.00 2010-03-18
64 T G HOLBORN (HK) LIMITED 2 11 13 2 10 12 0 -1 -1 84.62 83.33 2014-04-29
65 Templewater Hong Kong Limited 4 7 11 5 7 12 1 0 1 63.64 58.33 2018-10-11
66 CLC International Limited 0 0 0 4 7 11 4 7 11 - 63.64 2012-12-07 2022-10-26
67 EMPEROR CORPORATE FINANCE LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64
68 Everbright Securities Global (HK) Limited 3 13 16 3 8 11 0 -5 -5 81.25 72.73 2024-06-20
69 MESSIS CAPITAL LIMITED 5 5 10 5 6 11 0 1 1 50.00 54.55
70 ORIENTAL PATRON ASIA LIMITED 5 5 10 4 7 11 -1 2 1 50.00 63.64
71 Proton Capital Limited 3 2 5 6 5 11 3 3 6 40.00 45.45 2007-10-16
72 RHB CAPITAL HONG KONG LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64 2020-11-17
73 ALTUS CAPITAL LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00
74 Chanceton Capital Partners Limited 4 5 9 4 6 10 0 1 1 55.56 60.00 2022-11-10
75 Octal Capital Limited 2 2 4 5 5 10 3 3 6 50.00 50.00 2011-06-01
76 SINOPAC SECURITIES (ASIA) LIMITED 2 3 5 5 5 10 3 2 5 60.00 50.00 2016-10-31
77 TC Capital International Limited 3 2 5 4 6 10 1 4 5 40.00 60.00 2010-08-11
78 CC Finance Limited 3 8 11 3 6 9 0 -2 -2 72.73 66.67 2006-04-20 2025-06-19
79 CHINA MERCHANTS CHINA INVESTMENT MANAGEMENT LIMITED 3 6 9 3 6 9 0 0 0 66.67 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 CNCB (Hong Kong) Capital Limited 2 5 7 2 7 9 0 2 2 71.43 77.78 2010-10-27
82 DONVEX CAPITAL LIMITED 3 5 8 3 6 9 0 1 1 62.50 66.67 2009-01-29
83 Huajin Corporate Finance (International) Limited 4 8 12 4 5 9 0 -3 -3 66.67 55.56
84 VBG Capital Limited 2 0 2 4 5 9 2 5 7 0.00 55.56 2009-04-20
85 VC CAPITAL LIMITED 5 4 9 4 5 9 -1 1 0 44.44 55.56
86 China Renaissance Securities (Hong Kong) Limited 0 0 0 3 5 8 3 5 8 - 62.50 2012-10-24
87 FIRST SHANGHAI CAPITAL LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00
88 FORTUNE FINANCIAL CAPITAL LIMITED 4 5 9 3 5 8 -1 0 -1 55.56 62.50 2009-03-12
89 HALCYON CAPITAL LIMITED (HK) 0 0 0 4 4 8 4 4 8 - 50.00 2012-12-06
90 JW CAPITAL SECURITIES LIMITED 3 8 11 3 5 8 0 -3 -3 72.73 62.50
91 KPMG CORPORATE FINANCE LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
92 MUFG Securities Asia Limited 3 4 7 3 5 8 0 1 1 57.14 62.50 2010-12-31
93 Nuada Limited 5 0 5 8 0 8 3 0 3 0.00 0.00 2004-01-15
94 PLATINUM SECURITIES COMPANY LIMITED 4 5 9 4 4 8 0 -1 -1 55.56 50.00
95 RaffAello Capital Limited 5 1 6 4 4 8 -1 3 2 16.67 50.00 2012-07-05
96 SDICS International Corporate Finance (Hong Kong) Limited 4 5 9 3 5 8 -1 0 -1 55.56 62.50 2010-09-01
97 VEDA CAPITAL LIMITED (HK) 3 4 7 3 5 8 0 1 1 57.14 62.50 2005-12-28
98 XinKong International Securities Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2010-01-22 2018-02-22
99 Zijing Capital Limited 3 8 11 3 5 8 0 -3 -3 72.73 62.50 2003-05-07
100 Anuenue Capital International Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2005-08-30
101 CHINA EVERBRIGHT SECURITIES (HK) LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14
102 Income Partners Asset Management (HK) Limited 3 2 5 4 3 7 1 1 2 40.00 42.86 2025-03-24
103 NEW SPRING CAPITAL LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2011-06-17 2020-07-09
104 PARTNERS CAPITAL INTERNATIONAL LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14
105 Ping An of China Capital (Hong Kong) Company Limited 1 0 1 3 4 7 2 4 6 0.00 57.14 2010-12-07
106 SOUTH CHINA CAPITAL LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43
107 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 1 6 5 2 7 0 1 1 16.67 28.57 2015-07-16
108 VISION FINANCE INTERNATIONAL COMPANY LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2007-11-29
109 Wealth Legend Asset Management Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2022-09-09
110 YU MING INVESTMENT MANAGEMENT LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
111 ASIA INVESTMENT MANAGEMENT LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2021-10-08
112 BlackRock Asset Management North Asia Limited 3 1 4 3 3 6 0 2 2 25.00 50.00 2004-11-01
113 CC Real Estate Advisory Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2010-08-04 2020-01-08
114 CC SIF Advisory Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2008-07-07
115 China Everbright Global Investment Advisors Company Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2012-08-09
116 CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED 0 0 0 4 2 6 4 2 6 - 33.33 2013-01-09
117 Crosby Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2013-09-18
118 DL SECURITIES (HK) LIMITED 3 0 3 3 3 6 0 3 3 0.00 50.00 2012-09-04
119 Goldin Financial Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2009-06-01 2019-03-28
120 INCU CORPORATE FINANCE LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
121 IVORY CAPITAL PRIVATE LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2007-03-21 2025-07-09
122 KGI CAPITAL ASIA LIMITED 4 2 6 3 3 6 -1 1 0 33.33 50.00 2022-05-12
123 MIB SECURITIES (HONG KONG) LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2012-05-21 2020-02-05
124 Quam Securities Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2012-05-25
125 SOUTHWEST SECURITIES (HK) CAPITAL LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00
126 TIAN YUAN FINANCE LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2020-04-20
127 VMS Securities Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2024-04-23
128 Amasse Capital Limited 3 0 3 3 2 5 0 2 2 0.00 40.00 2012-07-13
129 Astrum Capital Management Limited (HK) 3 0 3 3 2 5 0 2 2 0.00 40.00 2012-09-19
130 BaoQiao Partners Capital Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-03-05
131 CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
132 Changjiang Corporate Finance (HK) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-06-29
133 CONVOY CAPITAL HONG KONG LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-08-23 2022-09-14
134 DAEWOO SECURITIES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2012-02-17 2017-02-28
135 F.E. Corporate Finance Advisory Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-08-03 2020-05-04
136 FIRST SHANGHAI SECURITIES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
137 Fosun International Securities Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2024-04-17
138 FULBRIGHT CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2011-06-14 2015-04-20
139 HAITONG INTERNATIONAL CAPITAL (HK) LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2008-07-24 2020-02-21
140 KINGSTON CORPORATE FINANCE LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00
141 LAZARD ASIA (HONG KONG) LIMITED 4 7 11 2 3 5 -2 -4 -6 63.64 60.00
142 Milma & Co. Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2008-09-24 2020-03-03
143 PacBridge Capital Partners (HK) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2009-03-17 2016-01-27
144 SK Securities Hong Kong Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2012-01-20 2014-12-19
145 SMBC Nikko Securities (Hong Kong) Limited 4 2 6 3 2 5 -1 0 -1 33.33 40.00 2012-07-20
146 Soochow Securities International Capital Limited 0 0 0 2 3 5 2 3 5 - 60.00 2013-07-19
147 TAIPING CAPITAL LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2013-04-12
148 UOB KAY HIAN (HONG KONG) LIMITED 4 2 6 3 2 5 -1 0 -1 33.33 40.00
149 Argonaut Securities (Asia) Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2011-09-08 2021-12-07
150 Ark Securities (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
151 ASIAN CAPITAL PARTNERS (HK) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
152 Beijing Securities Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2008-11-07
153 CHIEF FINANCIAL CAPITAL LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2013-03-14
154 EVER-LONG SECURITIES COMPANY LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2025-03-27
155 EXS Capital Asia Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2008-06-12
156 GSI FINANCE GROUP LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-03-18 2023-08-17
157 HARMONY ASSET MANAGEMENT LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-28
158 HERCULES CAPITAL LIMITED (b2002-05-21) 2 2 4 2 2 4 0 0 0 50.00 50.00 2019-01-30
159 Kaiser KT Capital Limited 3 3 6 3 1 4 0 -2 -2 50.00 25.00
160 KARL THOMSON FINANCIAL ADVISORY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
161 LUMINARY CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2007-11-14 2021-11-01
162 Mason Securities Limited 2 1 3 1 3 4 -1 2 1 33.33 75.00 2018-07-12
163 Odysseus Capital Asia Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2009-10-29
164 Oshidori Corporate Finance Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00
165 PRESIDENT SECURITIES (HONG KONG) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2007-06-20 2022-09-14
166 PRUDENTIAL BROKERAGE LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
167 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
168 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
169 Yuanta Securities (Hong Kong) Company Limited 5 3 8 1 3 4 -4 0 -4 37.50 75.00 2006-07-08
170 Asia Pacific Financial Capital 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 CTBC Asia Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-19
176 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-01-06 2019-10-31
177 Funderstone Securities Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
178 GET NICE SECURITIES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00
179 GRANSING SECURITIES CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
180 HONG KONG INTERNATIONAL CAPITAL MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
181 HOORAY CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
182 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
183 HUA YU INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
184 JK Capital Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2019-03-25
185 KCG SECURITIES ASIA LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00
186 MANGO FINANCIAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
187 North Asia Strategic Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-04-04 2014-04-17
188 Oppenheimer Investments Asia Limited 1 1 2 2 1 3 1 0 1 50.00 33.33 2010-02-12 2017-07-05
189 PHOENIX CAPITAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-12-21
190 PO KAY SECURITIES & SHARES COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
191 QH CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2009-07-22 2021-08-24
192 REDFORD CORPORATE FINANCE LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-02-07
193 SDHG International Asset Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-12-02
194 SEEKERS MARKETS LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2013-08-09 2022-06-10
195 Tenacity Partners Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-08-13 2013-12-17
196 TRANSPAC CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
197 UPBEST SECURITIES COMPANY LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67
198 VICTORIA CAPITAL LIMITED (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-04-01
199 VISION FINANCE (SECURITIES) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2008-03-13
200 Wells Fargo Securities Asia Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2008-04-25
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 ANGLO CHINESE SECURITIES, LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
204 Anuenue Securities Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
205 Arta Corporate Advisory Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-09-11
206 ASIA PACIFIC INVESTMENT ADVISORS LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00
207 Avista Capital Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-08-09 2016-07-19
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 1 1 2 2 0 2 1 -1 0 50.00 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 0 2 2 0 2 0 0 0 0.00 0.00
215 CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-30
216 CORE PACIFIC-YAMAICHI CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
217 CUPOLA CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-03-26
218 Cynosure Asset Management Hong Kong Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2023-09-27
219 Daishin Securities Asia Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-09-21 2014-01-30
220 EVOLUTION ASIA INVESTMENTS LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2020-01-24
221 EXCELSIOR CAPITAL ASIA (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
222 FIRST ASIA FINANCE GROUP LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2020-01-29
223 Fortune Origin Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-30 2024-07-15
224 GET NICE CAPITAL LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
225 GO-TO-ASIA INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-02-12
226 GUANGDONG (INTERNATIONAL) CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2025-06-05
227 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
228 Huizhi International Capital Holdings Co., Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
229 I-ACCESS INVESTORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2010-11-18 2022-08-23
230 IREALITY INVESTMENTS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
231 JOINCAP CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2023-01-10
232 JOLMO CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-01-23 2021-08-31
233 KB Securities Hong Kong Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00
234 OASIS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
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 Silk Road International Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
237 SIMPSON FINANCIAL LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-05-11
238 SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED 4 4 8 2 0 2 -2 -4 -6 50.00 0.00 2008-03-27
239 SPDB International Holdings Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-12-30
240 SPS INVESTMENT SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2018-04-13
241 STJ Advisors (Asia) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-11-17 2017-03-02
242 SUN RAISE CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2019-09-06
243 Austin Asia Securities Limited 0 0 0 1 0 1 1 0 1 - 0.00 2012-11-14 2020-12-29
244 FRONTIER CAPITAL INVESTMENT LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2013-01-29 2022-01-14
245 Golden Jade Capital Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2008-07-23 2021-08-25
246 Innoform-Ashfield Capital Limited 2 2 4 1 0 1 -1 -2 -3 50.00 0.00 2007-08-07 2014-01-23
247 Joy Silver Limited 5 5 10 1 0 1 -4 -5 -9 50.00 0.00 2014-03-17
248 ROTH Capital Partners (Hong Kong) Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2010-11-30 2014-01-20
249 SHENG YUAN CAPITAL (HONG KONG) LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-12-05
250 SSC MANDARIN FINANCIAL SERVICES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-02-05 2015-03-27
251 UPBEST ASSETS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
252 Xeram and Company (Asia) Limited 3 2 5 1 0 1 -2 -2 -4 40.00 0.00 2003-12-19 2015-11-27
253 Allard Partners Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-09-17
254 CBRE Investment Management (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-06-18
255 CHIEF CAPITAL LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-07-14 2013-07-15
256 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2013-05-13
257 FE SECURITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2012-12-28
258 JAPAN ASIA ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-08-20
259 Keefe, Bruyette & Woods Asia Limited 3 1 4 0 0 0 -3 -1 -4 25.00 - 2010-03-03 2013-04-24
260 PIPER JAFFRAY ASIA LIMITED 0 6 6 0 0 0 0 -6 -6 100.00 - 2013-01-24
261 RBC Capital Markets (Hong Kong) Limited 3 8 11 0 0 0 -3 -8 -11 72.73 - 2011-11-09 2012-11-01
262 RBC Capital Markets (Hong Kong) Limited 3 8 11 0 0 0 -3 -8 -11 72.73 - 2012-11-01 2016-07-26
263 SALISBURY SECURITIES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-03-31 2013-08-30
264 South West Capital Limited (d2013-12-11) 5 4 9 0 0 0 -5 -4 -9 44.44 - 2011-06-30 2013-04-26
265 Yuanta Asia Investment (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2010-03-10 2013-11-01
Average 3.55 14.52 18.07 3.58 13.89 17.48 80.34 79.50

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