Hong Kong SFC Type 1 (Dealing in Securities) Licensed Firms
A Type 1 licence under the Securities and Futures Ordinance (Cap. 571) permits a corporation to deal in securities — including making or offering to make agreements to acquire, dispose of, subscribe for or underwrite securities — for its own account or on behalf of clients. This is the most common SFC licence and covers brokers, dealers, primary dealers and IPO underwriters operating in Hong Kong.
1606
Active firms
2614
Firms ever licensed
5143
Active Responsible Officers
26079
Active Representatives
Top firms currently licensed for Dealing in securities (by licensed staff)
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 · 1657 licensed staff · 中國國際金融香港證券有限公司
CLSA Limited
CE AAB893 · 1150 licensed staff · 中信里昂證券有限公司
Goldman Sachs (Asia) L.L.C.
CE ACC536 · 886 licensed staff · 高盛(亞洲)有限責任公司
Morgan Stanley Asia Limited
CE AAD291 · 769 licensed staff · 摩根士丹利亞洲有限公司
Huatai Financial Holdings (Hong Kong) Limited
CE AOK809 · 723 licensed staff · 華泰金融控股(香港)有限公司
Nomura International (Hong Kong) Limited
CE AAF742 · 436 licensed staff · 野村國際(香港)有限公司
Everbright Securities Investment Services (HK) Limited
CE AAC153 · 429 licensed staff · 光大證券投資服務（香港）有限公司
KGI Asia Limited
CE BKJ214 · 427 licensed staff · 凱基證券亞洲有限公司
Citigroup Global Markets Asia Limited
CE AAA137 · 413 licensed staff · 花旗環球金融亞洲有限公司
Manulife Investment Management (Hong Kong) Limited
CE ACP555 · 382 licensed staff · 宏利投資管理(香港)有限公司
Merrill Lynch (Asia Pacific) Limited
CE AAC198 · 354 licensed staff
UOB Kay Hian (Hong Kong) Limited
CE AAW261 · 352 licensed staff · 大華繼顯(香港)有限公司
Guotai Junan Securities (Hong Kong) Limited
CE ABY236 · 332 licensed staff · 國泰君安證券(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
Phillip Securities (Hong Kong) Limited
CE AAG460 · 321 licensed staff · 輝立證券(香港)有限公司
CMB International Securities Limited
CE AUZ441 · 306 licensed staff · 招銀國際證券有限公司
BOCI Securities Limited
CE AAC298 · 290 licensed staff · 中銀國際證券有限公司
CITIC Securities Brokerage (HK) Limited
CE AAE879 · 290 licensed staff · 中信証券經紀(香港)有限公司
Haitong International Securities Company Limited
CE AAF806 · 290 licensed staff · 海通國際證券有限公司
GF Securities (Hong Kong) Brokerage Limited
CE AOB364 · 253 licensed staff · 廣發証券(香港)經紀有限公司
China Galaxy International Securities (Hong Kong) Co., Limited
CE AXM459 · 247 licensed staff · 中國銀河國際證券(香港)有限公司
UBS Securities Asia Limited
CE AAV882 · 240 licensed staff
BlackRock Asset Management North Asia Limited
CE AFF275 · 239 licensed staff · 貝萊德資產管理北亞有限公司
China Merchants Securities (HK) Co., Limited
CE AAI650 · 234 licensed staff · 招商證券(香港)有限公司
Mizuho Securities Asia Limited
CE AEZ953 · 230 licensed staff · 瑞穗證券亞洲有限公司
Morgan Stanley Hong Kong Securities Limited
CE AAD401 · 220 licensed staff
SinoPac Securities (Asia) Limited
CE BIZ502 · 212 licensed staff · 永豐金證券(亞洲)有限公司
Fulbright Securities Limited
CE AFB820 · 205 licensed staff · 富昌證券有限公司
HSBC Global Asset Management (Hong Kong) Limited
CE AAF684 · 205 licensed staff
Barclays Capital Asia Limited
CE AAC257 · 195 licensed staff · 巴克萊亞洲有限公司
Merrill Lynch Far East Limited
CE AAC352 · 185 licensed staff
Futu Securities International (Hong Kong) Limited
CE AZT137 · 184 licensed staff · 富途證券國際(香港)有限公司
Jefferies Hong Kong Limited
CE ATS546 · 183 licensed staff · 富瑞金融集團香港有限公司
J.P. Morgan Securities (Far East) Limited
CE AAB026 · 176 licensed staff
Jane Street Asia Pacific Limited
CE BPL628 · 176 licensed staff
Jane Street Hong Kong Limited
CE BAL548 · 176 licensed staff ·
CITIC Securities International Global Markets Limited
CE BIG262 · 169 licensed staff · 中信證券國際全球市場有限公司
OnePlatform Asset Management Limited
CE AFQ784 · 164 licensed staff · 環一資產管理有限公司
UBS Securities Hong Kong Limited
CE BIN466 · 161 licensed staff
LGT Investment Management (Asia) Limited
CE AAC801 · 157 licensed staff
Shenwan Hongyuan Securities (H.K.) Limited
CE AAC927 · 157 licensed staff · 申萬宏源證券(香港)有限公司
HSBC Investment Funds (Hong Kong) Limited
CE AAL518 · 156 licensed staff
China Securities (International) Brokerage Company Limited
CE BAU373 · 154 licensed staff · 中信建投(國際)証券有限公司
FWD Financial Planning Limited
CE AFG549 · 152 licensed staff · 富衛財務策劃有限公司
FIL Investment Management (Hong Kong) Limited
CE AAG408 · 151 licensed staff · 富達基金(香港)有限公司
HSBC Securities Brokers (Asia) Limited
CE ACB389 · 135 licensed staff · 滙豐證券經紀(亞洲)有限公司
Ark Group Holdings (Hong Kong) Limited
CE AYC880 · 132 licensed staff · 方舟集團控股（香港）有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 128 licensed staff · 日興證券(香港)有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 · 128 licensed staff · 日興證券(香港)有限公司
Yuanta Securities (Hong Kong) Company Limited
CE ABS015 · 128 licensed staff · 元大證券(香港)有限公司
Prudential Brokerage Limited
CE ABI439 · 126 licensed staff · 信誠證券有限公司
SG Securities (HK) Limited
CE AAD941 · 126 licensed staff · 法國興業證券(香港)有限公司
Orient Securities (Hong Kong) Limited
CE AVD362 · 124 licensed staff · 東方證券(香港)有限公司
BOCOM International Securities Limited
CE APJ121 · 123 licensed staff · 交銀國際證券有限公司
Natixis Asia Limited
CE ALB641 · 118 licensed staff
WRise Prestige Securities Limited
CE BSJ229 · 116 licensed staff · 昇世匯盈證券有限公司
Asset Management Group Limited
CE AMT657 · 115 licensed staff · 資產管理集團有限公司
Chief Securities Limited
CE BWN872 · 115 licensed staff · 致富證券有限公司
BNP Paribas Securities (Asia) Limited
CE AAF669 · 112 licensed staff · 法國巴黎證券(亞洲)有限公司
China Everbright Securities (HK) Limited
CE AAW536 · 111 licensed staff · 中國光大證券(香港)有限公司
Quam Securities Limited
CE AAC577 · 101 licensed staff · 華富建業證券有限公司
CMB International Capital Limited
CE AVM940 · 99 licensed staff · 招銀國際融資有限公司
ICBC International Securities Limited
CE ARO299 · 98 licensed staff · 工銀國際證券有限公司
SDIC Securities (Hong Kong) Limited
CE AUW685 · 97 licensed staff · 國投證券（香港）有限公司
JPMorgan Funds (Asia) Limited
CE AAA135 · 96 licensed staff · 摩根基金(亞洲)有限公司
TFI Securities and Futures Limited
CE BAV573 · 96 licensed staff · 天風國際證券與期貨有限公司
Macquarie Asia Securities Limited
CE AAC523 · 91 licensed staff ·
Emperor Securities Limited
CE AAP057 · 90 licensed staff · 英皇證券有限公司
uSmart Securities Limited
CE BJA907 · 88 licensed staff · 盈立證券有限公司
CCB International Capital Limited
CE AJO225 · 87 licensed staff · 建銀國際金融有限公司
Cinda International Securities Limited
CE AEL202 · 87 licensed staff · 信達國際證券有限公司
Fosun International Securities Limited
CE AAF432 · 87 licensed staff · 復星國際證券有限公司
iFAST Global Markets (HK) Limited
CE ANH692 · 87 licensed staff · 奕豐環球市場(香港)有限公司
Interactive Brokers Hong Kong Limited
CE ADI249 · 85 licensed staff · 盈透證券香港有限公司
ABCI Securities Company Limited
CE ACX411 · 84 licensed staff · 農銀國際證券有限公司
Luk Fook Securities (HK) Limited
CE ACU547 · 84 licensed staff · 六福證券(香港)有限公司
China Industrial Securities International Brokerage Limited
CE AYE823 · 83 licensed staff · 興證國際證券有限公司
Ping An Securities (Hong Kong) Company Limited
CE BMC491 · 83 licensed staff · 平安證券（香港）有限公司
Wisdom Asset Management Limited
CE BJC758 · 82 licensed staff · 滙智資產管理有限公司
MUFG Securities Asia Limited
CE AAA889 · 81 licensed staff · 三菱日聯證券亞洲有限公司
Bright Smart Securities International (H.K.) Limited
CE AEZ575 · 77 licensed staff · 耀才證券國際(香港)有限公司
Core Pacific - Yamaichi International (H.K.) Limited
CE BHM090 · 77 licensed staff · 京華山一國際(香港)有限公司
Wellington Management Hong Kong Limited
CE AJB478 · 76 licensed staff · 威靈頓管理香港有限公司
Zhongtai International Securities Limited
CE BAA855 · 76 licensed staff · 中泰國際證券有限公司
BCT Financial Limited
CE ARW545 · 74 licensed staff · 銀聯金融有限公司
Goldman Sachs Asset Management (Hong Kong) Limited
CE BFK567 · 72 licensed staff · 高盛資產管理(香港)有限公司
Invesco Hong Kong Limited
CE AAJ770 · 72 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)
Macquarie Capital Limited
CE AAC534 · 72 licensed staff · 麥格理資本股份有限公司
ABCI Capital Limited
CE AWL249 · 71 licensed staff · 農銀國際融資有限公司
BOCI-Prudential Asset Management Limited
CE AFK209 · 71 licensed staff · 中銀國際英國保誠資產管理有限公司
Daiwa Capital Markets Hong Kong Limited
CE AAB639 · 71 licensed staff · 大和資本市場香港有限公司
E Fund Management (Hong Kong) Co., Limited
CE ARO593 · 70 licensed staff · 易方達資產管理(香港)有限公司
Topaz Financial Group Limited
CE BAA079 · 70 licensed staff · 瑭明金融集團有限公司
Eastspring Investments (Hong Kong) Limited
CE AFO909 · 69 licensed staff · 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務)
First Shanghai Securities Limited
CE ABV488 · 68 licensed staff · 第一上海證券有限公司
First Securities (HK) Limited
CE AAA347 · 67 licensed staff · 第一證券(香港)有限公司
BOCHK Asset Management Limited
CE AWJ005 · 65 licensed staff · 中銀香港資產管理有限公司
CMBC Securities Company Limited
CE APU820 · 63 licensed staff · 民銀證券有限公司
Guoyuan Securities Brokerage (Hong Kong) Limited
CE AOA594 · 63 licensed staff · 國元証券經紀(香港)有限公司
Hansui Capital Company Limited
CE BRA045 · 63 licensed staff · 瀚隋資本有限公司
Showing top 100 of 1606 active firms — view full searchable list →
Browse other regulated activities
Type 2 — Dealing in futures contracts
Type 3 — Leveraged foreign exchange trading
Type 4 — Advising on securities
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