Hong Kong SFC Type 5 (Advising on Futures Contracts) Licensed Firms
Type 5 covers advising on futures contracts. It can apply to businesses providing futures advice or research, subject to the statutory definitions, exclusions and any conditions on the intermediary's licence.
Official reference: SFC licensing guidance on regulated activities.
168
Active firms
474
Firms ever licensed
449
Active Responsible Officers
952
Active Representatives
Top firms currently licensed for Advising on futures contracts (by licensed staff)
J.P. Morgan Broking (Hong Kong) Limited
CE AAB027 - 213 licensed staff
Morgan Stanley Asia Limited
CE AAD291 - 71 licensed staff - 摩根士丹利亞洲有限公司
Guotai Junan Futures (Hong Kong) Limited
CE ADI115 - 57 licensed staff - 國泰君安期貨(香港)有限公司
China Securities (International) Brokerage Company Limited
CE BAU373 - 56 licensed staff - 中信建投(國際)証券有限公司
HSBC Global Asset Management (Hong Kong) Limited
CE AAF684 - 53 licensed staff
JPMorgan Asset Management (Asia Pacific) Limited
CE AAA121 - 53 licensed staff
Haitong International Futures Limited
CE AAX474 - 44 licensed staff - 海通國際期貨有限公司
Futu Securities International (Hong Kong) Limited
CE AZT137 - 34 licensed staff - 富途證券國際(香港)有限公司
Manulife Investment Management (Hong Kong) Limited
CE ACP555 - 27 licensed staff - 宏利投資管理(香港)有限公司
Oasis Management (Hong Kong)
CE AJJ190 - 24 licensed staff
Haitong International Asset Management (HK) Limited
CE ARE511 - 22 licensed staff - 海通國際資產管理(香港)有限公司
Phillip Commodities (HK) Limited
CE AAZ038 - 21 licensed staff - 輝立商品(香港)有限公司
AllianceBernstein Hong Kong Limited
CE ADX555 - 18 licensed staff - 聯博香港有限公司
China Xin Yongan Futures Company Limited
CE AOJ411 - 18 licensed staff - 中國新永安期貨有限公司
Hang Seng Investment Management Limited
CE ABT330 - 18 licensed staff - 恒生投資管理有限公司
Guosen Securities (HK) Brokerage Company, Limited
CE AUI491 - 17 licensed staff - 國信證券(香港)經紀有限公司
Shacom Futures Limited
CE AAJ283 - 17 licensed staff - 上商期貨有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 - 15 licensed staff - 日興證券(香港)有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 - 15 licensed staff - 日興證券(香港)有限公司
Allianz Global Investors Asia Pacific Limited
CE BFE699 - 14 licensed staff - 安聯環球投資亞太有限公司
Huaan Securities (Hong Kong) Futures Limited
CE BRH155 - 13 licensed staff - 華安證券(香港)期貨有限公司
State Street Global Advisors Asia Limited
CE AEI343 - 13 licensed staff - 道富環球投資管理亞洲有限公司
Yuanta Securities (Hong Kong) Company Limited
CE ABS015 - 13 licensed staff - 元大證券(香港)有限公司
BOCOM International Securities Limited
CE APJ121 - 12 licensed staff - 交銀國際證券有限公司
China International Capital Corporation Hong Kong Futures Limited
CE AWQ263 - 11 licensed staff - 中國國際金融香港期貨有限公司
KGI Futures (Hong Kong) Limited
CE ADW991 - 11 licensed staff - 凱基期貨(香港)有限公司
Natixis Asia Limited
CE ALB641 - 11 licensed staff
Fulbright Futures Limited
CE AME963 - 10 licensed staff - 富昌期貨有限公司
HGNH International Futures Co., Limited
CE AOU118 - 10 licensed staff - 橫華國際期貨有限公司
ICBC Asset Management (Global) Company Limited
CE AAY077 - 10 licensed staff - 工銀資管(全球)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
Baring Asset Management (Asia) Limited
CE AAJ177 - 9 licensed staff - 霸菱資產管理(亞洲)有限公司
Chief Securities Limited
CE BWN872 - 9 licensed staff - 致富證券有限公司
Eddid Securities and Futures Limited
CE BHT550 - 9 licensed staff - 艾德證券期貨有限公司
Emperor Futures Limited
CE AAJ095 - 9 licensed staff - 英皇期貨有限公司
Enhanced Investment Products Limited
CE AHK550 - 9 licensed staff - 易亞投資管理有限公司
Get Nice Futures Company Limited
CE ABS125 - 9 licensed staff - 結好期貨有限公司
HSBC Investment Funds (Hong Kong) Limited
CE AAL518 - 9 licensed staff
TFI Asset Management Limited
CE ASF056 - 9 licensed staff - 天風國際資產管理有限公司
Zheshang International Financial Holdings Co., Limited
CE BGD825 - 9 licensed staff - 浙商國際金融控股有限公司
BOCI Commodities & Futures Limited
CE AAJ737 - 8 licensed staff - 中銀國際期貨有限公司
Merrill Lynch (Asia Pacific) Limited
CE AAC198 - 8 licensed staff
RBC Investment Services (Asia) Limited
CE AAG176 - 7 licensed staff - 加皇投資理財有限公司
Sino-Rich Securities & Futures Limited
CE AFN604 - 7 licensed staff - 中順證券期貨有限公司
SinoPac Securities (Asia) Limited
CE BIZ502 - 7 licensed staff - 永豐金證券(亞洲)有限公司
AP Capital Management (Hong Kong) Limited
CE BFD387 - 6 licensed staff - 雅柏資本管理(香港)有限公司
BOCI Securities Limited
CE AAC298 - 6 licensed staff - 中銀國際證券有限公司
CBH Asia Limited
CE ABT305 - 6 licensed staff - 瑞金亞洲有限公司
Citigroup Global Markets Asia Limited
CE AAA137 - 6 licensed staff - 花旗環球金融亞洲有限公司
DA YUE Financial Group Limited
CE BQE859 - 6 licensed staff - 大粵金融集團有限公司
Hafoo Futures Limited
CE BJP084 - 6 licensed staff - 哈富期貨有限公司
Huatai (Hong Kong) Futures Limited
CE BHE003 - 6 licensed staff - 華泰(香港)期貨有限公司
Jin Yi Financial Group Limited
CE BRW210 - 6 licensed staff - 金益金融集團有限公司
SG Securities (HK) Limited
CE AAD941 - 6 licensed staff - 法國興業證券(香港)有限公司
Trading Central Asia Limited
CE AWI815 - 6 licensed staff - 乾鼎亞洲有限公司
Zheng Da International Financial Holding Limited
CE BOP620 - 6 licensed staff - 正大國際金融控股有限公司
BANDS Financial Limited
CE BFW669 - 5 licensed staff - 磐石金融有限公司
Bright Smart Futures & Commodities Company Limited
CE ADH427 - 5 licensed staff - 耀才期貨及商品有限公司
COFCO Futures (International) Co., Limited
CE BNE728 - 5 licensed staff - 中糧期貨(國際)有限公司
Funderstone Futures Limited
CE AAD847 - 5 licensed staff
Goldman Sachs (Asia) L.L.C.
CE ACC536 - 5 licensed staff - 高盛(亞洲)有限責任公司
Guodu Futures (Hong Kong) Limited
CE AVS898 - 5 licensed staff - 國都期貨(香港)有限公司
Invesco Hong Kong Limited
CE AAJ770 - 5 licensed staff - 景順投資管理有限公司(以景順投資管理名義經營業務)
Minmetals Financial Services Limited
CE BMV692 - 5 licensed staff - 五礦金融服務有限公司
Nomura International (Hong Kong) Limited
CE AAF742 - 5 licensed staff - 野村國際(香港)有限公司
Planetree Research Limited
CE BTG370 - 5 licensed staff
SINOIF Asset Management Limited
CE BOS872 - 5 licensed staff - 中金匯理資產管理(香港)有限公司
Shanxi Securities International Asset Management Limited
CE BEN407 - 5 licensed staff - 山證國際資產管理有限公司
Shenwan Hongyuan Research (H.K.) Limited
CE ADW588 - 5 licensed staff - 申萬宏源研究(香港)有限公司
Topaz Financial Group Limited
CE BAA079 - 5 licensed staff - 瑭明金融集團有限公司
TradeMaster Securities (Hong Kong) Limited
CE BHJ844 - 5 licensed staff - 淘金者證券(香港)有限公司
Yue Xiu Securities Company Limited
CE ABQ722 - 5 licensed staff - 越秀証券有限公司
AlTi Wealth Management (Hong Kong) Limited
CE AJF298 - 4 licensed staff - 安旗財富管理(香港)有限公司
CITIC Futures International Company Limited
CE BFL318 - 4 licensed staff - 中信期貨國際有限公司
CN First International Futures Limited
CE BBH027 - 4 licensed staff - 中一期貨有限公司
FIL Investment Advisors
CE AAV486 - 4 licensed staff
FIL Investment Management (Hong Kong) Limited
CE AAG408 - 4 licensed staff - 富達基金(香港)有限公司
Fuji Hong Kong Commodities Company Limited
CE AAG657 - 4 licensed staff - 富士香港商品有限公司
Going Securities Limited
CE BPS863 - 4 licensed staff - 高盈證券有限公司
Golden Hen Securities and Futures Limited
CE AUQ298 - 4 licensed staff - 金母雞證券期貨有限公司
Ping An Securities (Hong Kong) Futures Company Limited
CE AXR954 - 4 licensed staff - 平安證券（香港）期貨有限公司
RC Futures Advisory Limited
CE AUV525 - 4 licensed staff
Rui Da International Finance Holding Limited
CE AYE774 - 4 licensed staff - 瑞達國際金融控股有限公司
Solo Asset Management Limited
CE BJU094 - 4 licensed staff - 高歌資產管理有限公司
Superactive Financial Group Company Limited
CE AYB898 - 4 licensed staff - 先機金融集團有限公司
Valuable Capital Limited
CE AUL711 - 4 licensed staff - 華盛資本証券有限公司
Well Link International Securities Limited
CE ACH191 - 4 licensed staff - 立橋國際證券有限公司
iVenture Investment Management Limited
CE AFV748 - 4 licensed staff
313 Capital Management Limited
CE ABF168 - 3 licensed staff - 313資本管理有限公司
Ark Futures (Hong Kong) Limited
CE AJD535 - 3 licensed staff - 同舟期貨（香港）有限公司
Brickfield Partners Limited
CE BNQ719 - 3 licensed staff - 磚田伙伴有限公司
CASH Asset Management Limited
CE ALF042 - 3 licensed staff - 時富資產管理有限公司
Charleswin Bullion Limited
CE AXS019 - 3 licensed staff - 齊榮金號有限公司
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 - 3 licensed staff - 中國國際金融香港證券有限公司
China Merchants Futures (HK) Co., Limited
CE AGO928 - 3 licensed staff - 招商期貨(香港)有限公司
Delta Asia Securities Limited
CE AAW265 - 3 licensed staff - 滙業證券有限公司
Forthright Securities Company Limited
CE BGP713 - 3 licensed staff - 方德證券有限公司
Guoyuan Futures (Hong Kong) Limited
CE APW833 - 3 licensed staff - 國元期貨(香港)有限公司
Jinrui Futures (Hong Kong) Limited
CE AOY332 - 3 licensed staff - 金瑞期貨(香港)有限公司
LiquidityTech Limited
CE BVE925 - 3 licensed staff - 流動性科技有限公司
Showing top 100 of 168 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 6 - Advising on corporate finance
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
Type 101 - Operating a virtual asset trading platform