Hong Kong SFC Type 4 (Advising on Securities) Licensed Firms
Type 4 covers advising on securities, including certain advice, analyses and reports concerning securities. The precise licensing scope is governed by the Securities and Futures Ordinance, its exclusions and any conditions on the intermediary's licence.
Official reference: SFC licensing guidance on regulated activities.
2341
Active firms
3800
Firms ever licensed
6074
Active Responsible Officers
16879
Active Representatives
Top firms currently licensed for Advising on securities (by licensed staff)
CITIC Securities (Hong Kong) Limited
CE AAK249 - 926 licensed staff - 中信證券(香港)有限公司
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 - 672 licensed staff - 中國國際金融香港證券有限公司
Huatai Financial Holdings (Hong Kong) Limited
CE AOK809 - 423 licensed staff - 華泰金融控股(香港)有限公司
Guotai Junan Securities (Hong Kong) Limited
CE ABY236 - 286 licensed staff - 國泰君安證券(香港)有限公司
Merrill Lynch (Asia Pacific) Limited
CE AAC198 - 280 licensed staff
CLSA Limited
CE AAB893 - 278 licensed staff - 中信里昂證券有限公司
Goldman Sachs (Asia) L.L.C.
CE ACC536 - 269 licensed staff - 高盛(亞洲)有限責任公司
Mizuho Securities Asia Limited
CE AEZ953 - 262 licensed staff - 瑞穗證券亞洲有限公司
Nomura International (Hong Kong) Limited
CE AAF742 - 259 licensed staff - 野村國際(香港)有限公司
Haitong International Securities Company Limited
CE AAF806 - 250 licensed staff - 海通國際證券有限公司
Morgan Stanley Asia Limited
CE AAD291 - 237 licensed staff - 摩根士丹利亞洲有限公司
BOCI Securities Limited
CE AAC298 - 217 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
China Securities (International) Brokerage Company Limited
CE BAU373 - 208 licensed staff - 中信建投(國際)証券有限公司
HSBC Global Asset Management (Hong Kong) Limited
CE AAF684 - 203 licensed staff
J.P. Morgan Securities (Far East) Limited
CE AAB026 - 185 licensed staff
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 - 185 licensed staff - 日興證券(香港)有限公司
SMBC Nikko Securities (Hong Kong) Limited
CE BWU838 - 185 licensed staff - 日興證券(香港)有限公司
CITIC Securities Brokerage (HK) Limited
CE AAE879 - 182 licensed staff - 中信証券經紀(香港)有限公司
CMB International Securities Limited
CE AUZ441 - 182 licensed staff - 招銀國際證券有限公司
Futu Securities International (Hong Kong) Limited
CE AZT137 - 180 licensed staff - 富途證券國際(香港)有限公司
Jefferies Hong Kong Limited
CE ATS546 - 177 licensed staff - 富瑞金融集團香港有限公司
Everbright Securities Investment Services (HK) Limited
CE AAC153 - 154 licensed staff - 光大證券投資服務（香港）有限公司
FWD Financial Planning Limited
CE AFG549 - 146 licensed staff - 富衛財務策劃有限公司
JPMorgan Asset Management (Asia Pacific) Limited
CE AAA121 - 140 licensed staff
UBS Securities Asia Limited
CE AAV882 - 132 licensed staff
GF Securities (Hong Kong) Brokerage Limited
CE AOB364 - 131 licensed staff - 廣發証券(香港)經紀有限公司
UOB Kay Hian (Hong Kong) Limited
CE AAW261 - 121 licensed staff - 大華繼顯(香港)有限公司
Ark Group Holdings (Hong Kong) Limited
CE AYC880 - 113 licensed staff - 方舟集團控股（香港）有限公司
Manulife Investment Management (Hong Kong) Limited
CE ACP555 - 107 licensed staff - 宏利投資管理(香港)有限公司
Asset Management Group Limited
CE AMT657 - 103 licensed staff - 資產管理集團有限公司
Citigroup Global Markets Asia Limited
CE AAA137 - 103 licensed staff - 花旗環球金融亞洲有限公司
FIL Investment Management (Hong Kong) Limited
CE AAG408 - 103 licensed staff - 富達基金(香港)有限公司
J.P. Morgan Broking (Hong Kong) Limited
CE AAB027 - 99 licensed staff
Macquarie Capital Limited
CE AAC534 - 96 licensed staff - 麥格理資本股份有限公司
Natixis Asia Limited
CE ALB641 - 96 licensed staff
JPMorgan Funds (Asia) Limited
CE AAA135 - 95 licensed staff - 摩根基金(亞洲)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
E Fund Management (Hong Kong) Co., Limited
CE ARO593 - 86 licensed staff - 易方達資產管理(香港)有限公司
Wisdom Asset Management Limited
CE BJC758 - 81 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
Invesco Hong Kong Limited
CE AAJ770 - 78 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)
WRise Prestige Asset Management Limited
CE BSJ232 - 78 licensed staff - 昇世匯盈資產管理有限公司
Wellington Management Hong Kong Limited
CE AJB478 - 77 licensed staff - 威靈頓管理香港有限公司
BCT Financial Limited
CE ARW545 - 76 licensed staff - 銀聯金融有限公司
CSOP Asset Management Limited
CE ARN075 - 76 licensed staff - 南方東英資產管理有限公司
HSBC Investment Funds (Hong Kong) Limited
CE AAL518 - 76 licensed staff
Haitong International Research Limited
CE AFF927 - 75 licensed staff - 海通國際研究有限公司
Schroder Investment Management (Hong Kong) Limited
CE ACJ591 - 75 licensed staff
Orient Securities (Hong Kong) Limited
CE AVD362 - 74 licensed staff - 東方證券(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)
China Galaxy International Securities (Hong Kong) Co., Limited
CE AXM459 - 69 licensed staff - 中國銀河國際證券(香港)有限公司
China Asset Management (Hong Kong) Limited
CE ARS988 - 68 licensed staff - 華夏基金(香港)有限公司
Guosen Securities (HK) Brokerage Company, Limited
CE AUI491 - 67 licensed staff - 國信證券(香港)經紀有限公司
Allianz Global Investors Asia Pacific Limited
CE BFE699 - 66 licensed staff - 安聯環球投資亞太有限公司
CITIC Securities Asset Management (HK) Limited
CE ARE947 - 66 licensed staff - 中信證券資產管理(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
BOCI-Prudential Asset Management Limited
CE AFK209 - 65 licensed staff - 中銀國際英國保誠資產管理有限公司
BOCOM International Securities Limited
CE APJ121 - 65 licensed staff - 交銀國際證券有限公司
Phillip Securities (Hong Kong) Limited
CE AAG460 - 65 licensed staff - 輝立證券(香港)有限公司
T. Rowe Price Hong Kong Limited
CE AVY670 - 65 licensed staff - 普徠仕香港有限公司
Yuanta Securities (Hong Kong) Company Limited
CE ABS015 - 65 licensed staff - 元大證券(香港)有限公司
FIL Investment Advisors
CE AAV486 - 64 licensed staff
IPP Financial Advisers Limited
CE AMX312 - 64 licensed staff - 盈加理財顧問有限公司
Changjiang Securities Brokerage (HK) Limited
CE AXY608 - 63 licensed staff - 長江證券經紀(香港)有限公司
CITIC Securities International Global Markets Limited
CE BIG262 - 62 licensed staff - 中信證券國際全球市場有限公司
Hansui Capital Company Limited
CE BRA045 - 62 licensed staff - 瀚隋資本有限公司
Chief Securities Limited
CE BWN872 - 61 licensed staff - 致富證券有限公司
KGI Asia Limited
CE BKJ214 - 60 licensed staff - 凱基證券亞洲有限公司
CMBC Securities Company Limited
CE APU820 - 59 licensed staff - 民銀證券有限公司
ICBC International Securities Limited
CE ARO299 - 59 licensed staff - 工銀國際證券有限公司
Taikang Asset Management (Hong Kong) Company Limited
CE ARG103 - 59 licensed staff - 泰康資產管理(香港)有限公司
CCB International Securities Limited
CE AMB276 - 58 licensed staff - 建銀國際證券有限公司
China Merchants Securities (HK) Co., Limited
CE AAI650 - 57 licensed staff - 招商證券(香港)有限公司
Ping An of China Asset Management (Hong Kong) Company Limited
CE AOD938 - 56 licensed staff - 中國平安資產管理(香港)有限公司
Fosun International Securities Limited
CE AAF432 - 55 licensed staff - 復星國際證券有限公司
China Industrial Securities International Brokerage Limited
CE AYE823 - 51 licensed staff - 興證國際證券有限公司
PIMCO Asia Limited
CE ANA959 - 51 licensed staff - 品浩投資管理(亞洲)有限公司
Sanford C. Bernstein (Hong Kong) Limited
CE AXC846 - 51 licensed staff - 盛博香港有限公司
Value Partners Hong Kong Limited
CE AFJ002 - 51 licensed staff - 惠理基金管理香港有限公司
Value Partners Limited
CE ABN759 - 51 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
Chubb Investment Management (HK) Limited
CE AVR438 - 48 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)
ICBC International Capital Limited
CE AQW615 - 48 licensed staff - 工銀國際融資有限公司
LGT Investment Management (Asia) Limited
CE AAC801 - 48 licensed staff
St. James's Place (Hong Kong) Limited
CE AAV439 - 48 licensed staff
Hang Seng Investment Management Limited
CE ABT330 - 46 licensed staff - 恒生投資管理有限公司
Nice Talent Asset Management Limited
CE BMR849 - 46 licensed staff - 俊賢資產管理有限公司
CNCB (Hong Kong) Capital Limited
CE AEQ982 - 45 licensed staff - 信銀(香港)資本有限公司
Amundi Hong Kong Limited
CE AAB444 - 44 licensed staff - 東方匯理資產管理香港有限公司
CMB International Global Markets Limited
CE AAF261 - 44 licensed staff - 招銀國際環球市場有限公司
Centaline Wealth Management Limited
CE AJF358 - 42 licensed staff - 中原資產管理有限公司
ICBC International Fund Management Limited
CE ATI575 - 42 licensed staff - 工銀國際基金管理有限公司
Fullgoal Asset Management (HK) Limited
CE AZX665 - 41 licensed staff - 富國資產管理(香港)有限公司
Neuberger Berman Asia Limited
CE AQN831 - 41 licensed staff
UBS Asset Management (Hong Kong) Limited
CE AGP568 - 41 licensed staff
Winner Zone Asset Management Limited
CE BRO369 - 40 licensed staff - 鴻鵠資產管理有限公司
Soochow Securities International Brokerage Limited
CE AYA587 - 39 licensed staff - 東吳證券國際經紀有限公司
Blackhorn Wealth Management Limited
CE BNM924 - 38 licensed staff - 晉羚財富管理有限公司
DBS Asia Capital Limited
CE AAE430 - 38 licensed staff - 星展亞洲融資有限公司
Showing top 100 of 2341 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
Type 101 - Operating a virtual asset trading platform