Hong Kong SFC Type 6 (Advising on Corporate Finance) Licensed Firms
Type 6 licensees are authorised to advise on corporate finance — primarily IPO sponsor, M&A advisory, takeovers, restructurings and listed-company compliance. Sponsor work on the Hong Kong Stock Exchange requires this licence.
309
Active firms
1453
Firms ever licensed
1170
Active Responsible Officers
6500
Active Representatives
Top firms currently licensed for Advising on corporate finance (by licensed staff)
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 · 1003 licensed staff · 中國國際金融香港證券有限公司
CITIC Securities (Hong Kong) Limited
CE AAK249 · 981 licensed staff · 中信證券(香港)有限公司
Huatai Financial Holdings (Hong Kong) Limited
CE AOK809 · 456 licensed staff · 華泰金融控股(香港)有限公司
China Securities (International) Corporate Finance Company Limited
CE BAU112 · 325 licensed staff · 中信建投(國際)融資有限公司
Morgan Stanley Asia Limited
CE AAD291 · 288 licensed staff · 摩根士丹利亞洲有限公司
Merrill Lynch (Asia Pacific) Limited
CE AAC198 · 203 licensed staff
China Merchants Securities (HK) Co., Limited
CE AAI650 · 199 licensed staff · 招商證券(香港)有限公司
UBS Securities Hong Kong Limited
CE BIN466 · 192 licensed staff
Citigroup Global Markets Asia Limited
CE AAA137 · 187 licensed staff · 花旗環球金融亞洲有限公司
GF Capital (Hong Kong) Limited
CE AOB163 · 169 licensed staff · 廣發融資(香港)有限公司
J.P. Morgan Securities (Far East) Limited
CE AAB026 · 163 licensed staff
Haitong International Capital Limited
CE ADQ859 · 157 licensed staff · 海通國際資本有限公司
Guotai Junan Capital Limited
CE AGS488 · 131 licensed staff · 國泰君安融資有限公司
Mizuho Securities Asia Limited
CE AEZ953 · 129 licensed staff · 瑞穗證券亞洲有限公司
Goldman Sachs (Asia) L.L.C.
CE ACC536 · 114 licensed staff · 高盛(亞洲)有限責任公司
HSBC Corporate Finance (Hong Kong) Limited
CE ACX287 · 111 licensed staff
CMB International Capital Limited
CE AVM940 · 100 licensed staff · 招銀國際融資有限公司
China Galaxy International Securities (Hong Kong) Co., Limited
CE AXM459 · 98 licensed staff · 中國銀河國際證券(香港)有限公司
Nomura International (Hong Kong) Limited
CE AAF742 · 85 licensed staff · 野村國際(香港)有限公司
SDIC Securities Corporate Finance (Hong Kong) Limited
CE AVL376 · 82 licensed staff · 國投證券融資（香港）有限公司
CCB International Capital Limited
CE AJO225 · 78 licensed staff · 建銀國際金融有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 77 licensed staff · 日興證券(香港)有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 77 licensed staff · 日興證券(香港)有限公司
Guosen Securities (HK) Capital Company Limited
CE AUX600 · 72 licensed staff · 國信證券(香港)融資有限公司
ABCI Capital Limited
CE AWL249 · 71 licensed staff · 農銀國際融資有限公司
BNP Paribas Securities (Asia) Limited
CE AAF669 · 66 licensed staff · 法國巴黎證券(亞洲)有限公司
BOCI Asia Limited
CE AET863 · 62 licensed staff · 中銀國際亞洲有限公司
Deutsche Securities Asia Limited
CE AAJ984 · 61 licensed staff · 德意志證券亞洲有限公司
Ping An of China Capital (Hong Kong) Company Limited
CE AWB701 · 59 licensed staff · 中國平安資本(香港)有限公司
Jefferies Hong Kong Limited
CE ATS546 · 56 licensed staff · 富瑞金融集團香港有限公司
Sinolink Securities (Hong Kong) Company Limited
CE AAI195 · 55 licensed staff · 國金證券(香港)有限公司
ICBC International Capital Limited
CE AQW615 · 51 licensed staff · 工銀國際融資有限公司
Barclays Capital Asia Limited
CE AAC257 · 47 licensed staff · 巴克萊亞洲有限公司
Shenwan Hongyuan Capital (H.K.) Limited
CE ABC209 · 47 licensed staff · 申萬宏源融資(香港)有限公司
China Industrial Securities International Capital Limited
CE BAK956 · 44 licensed staff · 興證國際融資有限公司
Zhongtai International Capital Limited
CE BBY334 · 42 licensed staff · 中泰國際融資有限公司
Orient Capital (Hong Kong) Limited
CE BDN128 · 41 licensed staff · 東方融資(香港)有限公司
MUFG Securities Asia Limited
CE AAA889 · 39 licensed staff · 三菱日聯證券亞洲有限公司
DBS Asia Capital Limited
CE AAE430 · 38 licensed staff · 星展亞洲融資有限公司
Moelis & Company Asia Limited
CE ATI285 · 36 licensed staff · 美馳亞洲有限公司
Houlihan Lokey (China) Limited
CE ARC069 · 35 licensed staff · 華利安諾基(中國)有限公司
CEB International Capital Corporation Limited
CE BGH296 · 30 licensed staff · 光銀國際資本有限公司
TFI Capital Limited
CE BPW736 · 30 licensed staff · 天風國際資本市場有限公司
BOCOM International (Asia) Limited
CE API271 · 29 licensed staff · 交銀國際(亞洲)有限公司
Macquarie Capital Limited
CE AAC534 · 28 licensed staff · 麥格理資本股份有限公司
CMBC International Capital Limited
CE BIY679 · 25 licensed staff · 民銀資本有限公司
Somerley Capital Limited
CE BAU754 · 25 licensed staff · 新百利融資有限公司
SPDB International Capital Limited
CE BFZ375 · 24 licensed staff · 浦銀國際融資有限公司
CNCB (Hong Kong) Capital Limited
CE AEQ982 · 23 licensed staff · 信銀(香港)資本有限公司
China Everbright Capital Limited
CE ACE409 · 20 licensed staff · 中國光大融資有限公司
Lego Corporate Finance Limited
CE BGE921 · 20 licensed staff · 力高企業融資有限公司
CVC Asia Pacific Limited
CE AFD202 · 19 licensed staff ·
Daiwa Capital Markets Hong Kong Limited
CE AAB639 · 18 licensed staff · 大和資本市場香港有限公司
Guoyuan Capital (Hong Kong) Limited
CE BDV271 · 18 licensed staff · 國元融資(香港)有限公司
Admiralty Harbour Capital Limited
CE BHI134 · 17 licensed staff · 鐘港資本有限公司
Innovax Capital Limited
CE BDT371 · 17 licensed staff · 創陞融資有限公司
UOB Kay Hian (Hong Kong) Limited
CE AAW261 · 17 licensed staff · 大華繼顯(香港)有限公司
Quam Capital Limited
CE ACR487 · 16 licensed staff · 華富建業企業融資有限公司
Asian Capital Limited
CE AZF630 · 15 licensed staff · 卓亞融資有限公司
Eddid Capital Limited
CE BOZ865 · 15 licensed staff · 艾德資本有限公司
Rothschild & Co Hong Kong Limited
CE AAI852 · 15 licensed staff · 羅斯柴爾德恩可香港有限公司
Anglo Chinese Corporate Finance, Limited
CE AAD350 · 14 licensed staff · 英高財務顧問有限公司
Cinda International Capital Limited
CE AEE541 · 14 licensed staff · 信達國際融資有限公司
Alvarez & Marsal Corporate Finance Limited
CE BQF569 · 12 licensed staff · 安邁融資顧問有限公司
Ample Capital Limited
CE AFZ323 · 12 licensed staff · 豐盛融資有限公司
China Renaissance Securities (Hong Kong) Limited
CE AZX839 · 12 licensed staff · 華興證券(香港)有限公司
Fosun International Capital Limited
CE BPX708 · 12 licensed staff · 復星國際資本有限公司
Huajin Corporate Finance (International) Limited
CE AAZ354 · 12 licensed staff · 華金融資(國際)有限公司
Octal Capital Limited
CE AVW345 · 12 licensed staff · 八方金融有限公司
Wells Fargo Securities Asia Limited
CE AQP592 · 12 licensed staff
Guolian Securities International Capital Market Co., Limited
CE BQU633 · 11 licensed staff · 國聯證券國際資本市場有限公司
Huafu International Finance Limited
CE BQC240 · 11 licensed staff · 華福國際融資有限公司
Maxa Capital Limited
CE BNO600 · 11 licensed staff · 邁時資本有限公司
PJT Partners (HK) Limited
CE BEZ914 · 11 licensed staff
Shanxi Securities International Capital Limited
CE BIJ642 · 11 licensed staff · 山證國際融資有限公司
VBG Capital Limited
CE AME341 · 11 licensed staff · 建泉融資有限公司
Zero2IPO Capital Limited
CE BRH906 · 11 licensed staff · 清科資本有限公司
Altus Capital Limited
CE AGH102 · 10 licensed staff · 浩德融資有限公司
Dongxing Securities (Hong Kong) Company Limited
CE BBY779 · 10 licensed staff · 東興證券(香港)有限公司
Rainbow Capital (HK) Limited
CE BPB716 · 10 licensed staff · 浤博資本有限公司
Red Sun Capital Limited
CE BHX435 · 10 licensed staff · 紅日資本有限公司
Alliance Capital Partners Limited
CE BBN260 · 9 licensed staff · 同人融資有限公司
Amasse Capital Limited
CE AZI550 · 9 licensed staff · 寶積資本有限公司
BOCI-Prudential Asset Management Limited
CE AFK209 · 9 licensed staff · 中銀國際英國保誠資產管理有限公司
China Merchants China Investment Management Limited
CE ABM970 · 9 licensed staff · 招商局中國投資管理有限公司
Evercore Asia Limited
CE AVT295 · 9 licensed staff ·
Get Nice Securities Limited
CE AAA847 · 9 licensed staff · 結好證券有限公司
Patrons Capital Limited
CE BSM550 · 9 licensed staff · 百惠資本有限公司
South China Capital Limited
CE AAI635 · 9 licensed staff · 南華融資有限公司
Yue Xiu Capital Limited
CE BOA034 · 9 licensed staff · 越秀融資有限公司
Astrum Capital Management Limited
CE ALY555 · 8 licensed staff · 阿仕特朗資本管理有限公司
Caitong International Capital Co., Limited
CE BNO823 · 8 licensed staff · 財通國際融資有限公司
China Harbour International Capital Limited
CE BTU140 · 8 licensed staff · 中灣國際融資有限公司
KPMG Corporate Finance Limited
CE AGD536 · 8 licensed staff · 畢馬威企業財務有限公司
Lazard Asia (Hong Kong) Limited
CE AAG627 · 8 licensed staff
Pelican Financial Limited
CE BJW394 · 8 licensed staff · 百利勤金融有限公司
uSmart Securities Limited
CE BJA907 · 8 licensed staff · 盈立證券有限公司
Ballas Capital Limited
CE BIO107 · 7 licensed staff · 博思融資有限公司
China Sunrise Capital Limited
CE BHR763 · 7 licensed staff · 華升資本有限公司
Comprador Limited
CE BEP126 · 7 licensed staff
Showing top 100 of 309 active firms — view full searchable list →
Browse other regulated activities
Type 1 — Dealing in securities
Type 2 — Dealing in futures contracts
Type 3 — Leveraged foreign exchange trading
Type 4 — Advising on securities
Type 5 — Advising on futures contracts
Type 7 — Providing automated trading services
Type 8 — Securities margin financing
Type 9 — Asset management
Type 10 — Providing credit rating services
Type 11 — Dealing in OTC derivative products
Type 12 — Providing clearing agency services
Type 13 — Providing depositary services for relevant CIS