Hong Kong SFC Type 4 (Advising on Securities) Licensed Firms
Type 4 licensees provide investment advice on securities — giving advice or issuing analyses or reports concerning securities. This is the licence held by sell-side research houses, independent research providers, fund-of-funds advisers and private wealth advisers operating in Hong Kong.
2281
Active firms
3727
Firms ever licensed
5960
Active Responsible Officers
16486
Active Representatives
Top firms currently licensed for Advising on securities (by licensed staff)
CITIC Securities (Hong Kong) Limited
CE AAK249 · 980 licensed staff · 中信證券(香港)有限公司
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 · 674 licensed staff · 中國國際金融香港證券有限公司
Huatai Financial Holdings (Hong Kong) Limited
CE AOK809 · 404 licensed staff · 華泰金融控股(香港)有限公司
Merrill Lynch (Asia Pacific) Limited
CE AAC198 · 277 licensed staff
CLSA Limited
CE AAB893 · 263 licensed staff · 中信里昂證券有限公司
Mizuho Securities Asia Limited
CE AEZ953 · 263 licensed staff · 瑞穗證券亞洲有限公司
Goldman Sachs (Asia) L.L.C.
CE ACC536 · 261 licensed staff · 高盛(亞洲)有限責任公司
Nomura International (Hong Kong) Limited
CE AAF742 · 250 licensed staff · 野村國際(香港)有限公司
Guotai Junan Securities (Hong Kong) Limited
CE ABY236 · 249 licensed staff · 國泰君安證券(香港)有限公司
Morgan Stanley Asia Limited
CE AAD291 · 240 licensed staff · 摩根士丹利亞洲有限公司
Haitong International Securities Company Limited
CE AAF806 · 235 licensed staff · 海通國際證券有限公司
BOCI Securities Limited
CE AAC298 · 218 licensed staff · 中銀國際證券有限公司
BlackRock Asset Management North Asia Limited
CE AFF275 · 214 licensed staff · 貝萊德資產管理北亞有限公司
HSBC Global Asset Management (Hong Kong) Limited
CE AAF684 · 205 licensed staff
J.P. Morgan Securities (Far East) Limited
CE AAB026 · 176 licensed staff
CMB International Securities Limited
CE AUZ441 · 172 licensed staff · 招銀國際證券有限公司
China Securities (International) Brokerage Company Limited
CE BAU373 · 170 licensed staff · 中信建投(國際)証券有限公司
CITIC Securities Brokerage (HK) Limited
CE AAE879 · 167 licensed staff · 中信証券經紀(香港)有限公司
Futu Securities International (Hong Kong) Limited
CE AZT137 · 161 licensed staff · 富途證券國際(香港)有限公司
Jefferies Hong Kong Limited
CE ATS546 · 160 licensed staff · 富瑞金融集團香港有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 157 licensed staff · 日興證券(香港)有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 157 licensed staff · 日興證券(香港)有限公司
FWD Financial Planning Limited
CE AFG549 · 153 licensed staff · 富衛財務策劃有限公司
Everbright Securities Investment Services (HK) Limited
CE AAC153 · 151 licensed staff · 光大證券投資服務（香港）有限公司
UBS Securities Asia Limited
CE AAV882 · 141 licensed staff
Ark Group Holdings (Hong Kong) Limited
CE AYC880 · 133 licensed staff · 方舟集團控股（香港）有限公司
JPMorgan Asset Management (Asia Pacific) Limited
CE AAA121 · 133 licensed staff
GF Securities (Hong Kong) Brokerage Limited
CE AOB364 · 126 licensed staff · 廣發証券(香港)經紀有限公司
UOB Kay Hian (Hong Kong) Limited
CE AAW261 · 118 licensed staff · 大華繼顯(香港)有限公司
Manulife Investment Management (Hong Kong) Limited
CE ACP555 · 104 licensed staff · 宏利投資管理(香港)有限公司
Asset Management Group Limited
CE AMT657 · 102 licensed staff · 資產管理集團有限公司
Macquarie Capital Limited
CE AAC534 · 101 licensed staff · 麥格理資本股份有限公司
FIL Investment Management (Hong Kong) Limited
CE AAG408 · 99 licensed staff · 富達基金(香港)有限公司
Citigroup Global Markets Asia Limited
CE AAA137 · 98 licensed staff · 花旗環球金融亞洲有限公司
J.P. Morgan Broking (Hong Kong) Limited
CE AAB027 · 98 licensed staff
Natixis Asia Limited
CE ALB641 · 94 licensed staff
Haitong International Research Limited
CE AFF927 · 88 licensed staff · 海通國際研究有限公司
iFAST Global Markets (HK) Limited
CE ANH692 · 86 licensed staff · 奕豐環球市場(香港)有限公司
JPMorgan Funds (Asia) Limited
CE AAA135 · 85 licensed staff · 摩根基金(亞洲)有限公司
Wisdom Asset Management Limited
CE BJC758 · 80 licensed staff · 滙智資產管理有限公司
CCB International Capital Limited
CE AJO225 · 78 licensed staff · 建銀國際金融有限公司
HSBC Investment Funds (Hong Kong) Limited
CE AAL518 · 77 licensed staff
BCT Financial Limited
CE ARW545 · 74 licensed staff · 銀聯金融有限公司
BOCI-Prudential Asset Management Limited
CE AFK209 · 73 licensed staff · 中銀國際英國保誠資產管理有限公司
E Fund Management (Hong Kong) Co., Limited
CE ARO593 · 73 licensed staff · 易方達資產管理(香港)有限公司
Eastspring Investments (Hong Kong) Limited
CE AFO909 · 73 licensed staff · 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務)
CSOP Asset Management Limited
CE ARN075 · 72 licensed staff · 南方東英資產管理有限公司
Schroder Investment Management (Hong Kong) Limited
CE ACJ591 · 72 licensed staff
Wellington Management Hong Kong Limited
CE AJB478 · 72 licensed staff · 威靈頓管理香港有限公司
China Galaxy International Securities (Hong Kong) Co., Limited
CE AXM459 · 71 licensed staff · 中國銀河國際證券(香港)有限公司
WRise Prestige Asset Management Limited
CE BSJ232 · 70 licensed staff · 昇世匯盈資產管理有限公司
Invesco Hong Kong Limited
CE AAJ770 · 68 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)
Phillip Securities (Hong Kong) Limited
CE AAG460 · 68 licensed staff · 輝立證券(香港)有限公司
BOCHK Asset Management Limited
CE AWJ005 · 67 licensed staff · 中銀香港資產管理有限公司
Yuanta Securities (Hong Kong) Company Limited
CE ABS015 · 67 licensed staff · 元大證券(香港)有限公司
BOCOM International Securities Limited
CE APJ121 · 66 licensed staff · 交銀國際證券有限公司
Changjiang Securities Brokerage (HK) Limited
CE AXY608 · 65 licensed staff · 長江證券經紀(香港)有限公司
Hansui Capital Company Limited
CE BRA045 · 64 licensed staff · 瀚隋資本有限公司
Allianz Global Investors Asia Pacific Limited
CE BFE699 · 62 licensed staff · 安聯環球投資亞太有限公司
China Asset Management (Hong Kong) Limited
CE ARS988 · 62 licensed staff · 華夏基金(香港)有限公司
China Merchants Securities (HK) Co., Limited
CE AAI650 · 62 licensed staff · 招商證券(香港)有限公司
ICBC International Securities Limited
CE ARO299 · 62 licensed staff · 工銀國際證券有限公司
Orient Securities (Hong Kong) Limited
CE AVD362 · 62 licensed staff · 東方證券(香港)有限公司
T. Rowe Price Hong Kong Limited
CE AVY670 · 62 licensed staff · 普徠仕香港有限公司
FIL Investment Advisors
CE AAV486 · 61 licensed staff
Taikang Asset Management (Hong Kong) Company Limited
CE ARG103 · 61 licensed staff · 泰康資產管理(香港)有限公司
CNCB (Hong Kong) Capital Limited
CE AEQ982 · 59 licensed staff · 信銀(香港)資本有限公司
Chief Securities Limited
CE BWN872 · 59 licensed staff · 致富證券有限公司
IPP Financial Advisers Limited
CE AMX312 · 59 licensed staff · 盈加理財顧問有限公司
CMBC Securities Company Limited
CE APU820 · 58 licensed staff · 民銀證券有限公司
Guosen Securities (HK) Brokerage Company, Limited
CE AUI491 · 58 licensed staff · 國信證券(香港)經紀有限公司
CITIC Securities International Global Markets Limited
CE BIG262 · 57 licensed staff · 中信證券國際全球市場有限公司
KGI Asia Limited
CE BKJ214 · 57 licensed staff · 凱基證券亞洲有限公司
CCB International Securities Limited
CE AMB276 · 54 licensed staff · 建銀國際證券有限公司
CITIC Securities Asset Management (HK) Limited
CE ARE947 · 54 licensed staff · 中信證券資產管理(香港)有限公司
Ping An of China Asset Management (Hong Kong) Company Limited
CE AOD938 · 54 licensed staff · 中國平安資產管理(香港)有限公司
China Industrial Securities International Brokerage Limited
CE AYE823 · 53 licensed staff · 興證國際證券有限公司
Sanford C. Bernstein (Hong Kong) Limited
CE AXC846 · 52 licensed staff · 盛博香港有限公司
Value Partners Hong Kong Limited
CE AFJ002 · 50 licensed staff · 惠理基金管理香港有限公司
Value Partners Limited
CE ABN759 · 50 licensed staff · 惠理基金管理公司
China International Capital Corporation Hong Kong Asset Management Limited
CE ANA195 · 49 licensed staff · 中國國際金融香港資產管理有限公司
Hang Seng Investment Management Limited
CE ABT330 · 49 licensed staff · 恒生投資管理有限公司
LGT Investment Management (Asia) Limited
CE AAC801 · 47 licensed staff
St. James's Place (Hong Kong) Limited
CE AAV439 · 47 licensed staff ·
Amundi Hong Kong Limited
CE AAB444 · 45 licensed staff · 東方匯理資產管理香港有限公司
CMB International Global Markets Limited
CE AAF261 · 45 licensed staff · 招銀國際環球市場有限公司
Centaline Wealth Management Limited
CE AJF358 · 45 licensed staff · 中原資產管理有限公司
Nice Talent Asset Management Limited
CE BMR849 · 45 licensed staff · 俊賢資產管理有限公司
UBS Asset Management (Hong Kong) Limited
CE AGP568 · 45 licensed staff
ICBC International Capital Limited
CE AQW615 · 44 licensed staff · 工銀國際融資有限公司
PIMCO Asia Limited
CE ANA959 · 44 licensed staff · 品浩投資管理(亞洲)有限公司
Taiping Assets Management (HK) Company Limited
CE ADV247 · 43 licensed staff · 太平資產管理(香港)有限公司
Fosun International Securities Limited
CE AAF432 · 42 licensed staff · 復星國際證券有限公司
ICBC International Fund Management Limited
CE ATI575 · 42 licensed staff · 工銀國際基金管理有限公司
Chubb Investment Management (HK) Limited
CE AVR438 · 40 licensed staff · 安達資產管理(香港)有限公司(以安達財富名義經營業務)
Fullgoal Asset Management (HK) Limited
CE AZX665 · 40 licensed staff · 富國資產管理(香港)有限公司
Neuberger Berman Asia Limited
CE AQN831 · 39 licensed staff
APG Investments Asia Limited
CE ARJ340 · 38 licensed staff · 荷蘭匯盈投資亞洲有限公司
Altruist Financial Group Limited
CE AJD993 · 38 licensed staff · 進邦匯理有限公司
DBS Asia Capital Limited
CE AAE430 · 38 licensed staff · 星展亞洲融資有限公司
Showing top 100 of 2281 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 5 — Advising on futures contracts
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