Securities & Futures Commission of Hong Kong

List of exempt principal traders (EPTs)

Name of Group Entities with EPT status
Bank of America Merrill Lynch
  • Merrill Lynch International
  • Merrill Lynch, Pierce, Fenner & Smith Incorporated
  • Merrill Lynch Professional Clearing Corp
  • Bank of America, National Association
  • Merrill Lynch Far East Limited
  • Merrill Lynch Canada Inc
  • Merrill Lynch International & Co. C.V.
  • BofA Securities Europe SA
  • BofA Securities, Inc.
Barclays PLC
  • Barclays Bank PLC
  • Barclays Capital Securities Limited
  • Barclays Capital Inc.
  • Barclays Capital Asia Limited
BNP Paribas
  • Global Equities Division of BNP Paribas Arbitrage SNC
  • Global Markets Division of BNP Paribas SA
    (formerly known as Global Equities Division and the Fixed Income Division of BNP Paribas SA)
  • Equities Cash Asia Division of BNP Paribas Securities (Asia) Limited
    (formerly known as Global Equities and Commodity Derivatives Division of BNP Paribas Securities (Asia) Limited)
  • Global Equities Division of BNP Paribas Issuance B.V.
  • Market and Financing Services Division of BNP Paribas Securities Services ("BPSS")
  • Wealth Management Division of BNP Paribas
CICC Group
  • China International Capital Corporation Hong Kong Securities Limited
  • CICC Financial Products Ltd.
  • CICC Financial Trading Limited
  • CICC Commodity Trading Limited
  • CICC Customer Trading Limited
  • CICC Wealth Investment Limited
  • China International Capital Corporation Limited
  • 中金浦成投資有限公司 (CICC Pucheng Investment Co., Ltd.)
Citigroup
  • Citigroup Global Markets Limited
  • Citigroup Global Markets Inc.
  • Citicorp International Limited
  • Citibank, N.A.
  • Citigroup Global Markets Asia Limited
  • Citigroup Global Markets Hong Kong Limited
  • Citigroup Global Markets Europe AG
Credit Suisse Group
  • Credit Suisse (Hong Kong) Limited
  • Credit Suisse Securities (Hong Kong) Limited
  • Credit Suisse International
  • Credit Suisse Securities (Europe) Limited
  • Credit Suisse Securities (USA) LLC
  • Credit Suisse Capital LLC
  • Credit Suisse Management LLC
  • Credit Suisse AG, New York Branch
  • Credit Suisse AG
  • Credit Suisse (Singapore) Limited
  • Credit Suisse AG, Singapore Branch
  • Credit Suisse Prime Securities Services (USA) LLC
  • Credit Suisse (Schweiz) AG
Daiwa Group
  • Daiwa Securities Co. Ltd.
    (formerly known as Daiwa Securities Capital Markets Co., Ltd.)
    (and further formerly known as Daiwa Securities SMBC Co., Ltd.)
  • Daiwa Capital Markets Europe Limited
    (formerly known as The Derivatives, Fixed Income and Equity Divisions of Daiwa Securities SMBC Europe Limited)
    (and further formerly known as Daiwa Securities SMBC Europe Limited)
  • Daiwa Capital Markets Hong Kong Limited
    (formerly known as Daiwa Securities SMBC Hong Kong Limited)
  • Daiwa Capital Markets Trading Hong Kong Limited
DBS Group
  • DBS Bank Ltd.
  • DBS Asia Capital Limited
  • DBS Bank (China) Limited
  • DBS Bank (Hong Kong) Limited
  • DBS Bank (Taiwan) Ltd
  • DBS Trustee Limited
  • PT Bank DBS Indonesia
  • DBS Vickers Securities (Singapore) Pte Ltd
  • DBS Vickers (Hong Kong) Ltd
  • DBS Vickers Securities (Thailand) Co Ltd
  • DBS Vickers Securities (USA), Inc.
  • PT DBS Vickers Sekuritas Indonesia
  • DBS Vickers Securities (UK) Ltd.
  • DBS Securities (Japan) Company Limited
  • DBS Bank India Limited
Goldman Sachs
  • Goldman Sachs (Asia) L.L.C.
  • Goldman Sachs (Asia) Finance
  • Goldman Sachs International
  • Goldman Sachs & Co. LLC
  • Goldman Sachs Japan Co., Ltd.
  • Goldman Sachs Structured Products (Asia) Limited
  • Goldman Sachs (Asia) Securities Limited
  • Goldman Sachs Bank Europe SE

HSBC Group

  • Global Markets of HSBC Bank plc
  • Global Markets of The Hongkong and Shanghai Banking Corporation Limited
  • Private Banking Division of The Hongkong and Shanghai Banking Corporation Limited
  • HSBC Broking Securities (Asia) Limited
  • Hang Seng Bank Limited
JPMorgan Group
  • Global Equities Division (including Prime Finance) of JPMorgan Group
  • Agency Lending of JPMorgan Group
Macquarie Group
  • Macquarie Bank Limited
  • Macquarie Capital Limited
    (formerly, Macquarie Capital Securities Limited)
  • Macquarie Capital Securities (Singapore) Pte Limited
  • Macquarie Emerging Markets Asian Trading Pte. Limited
Morgan Stanley Group
  • Morgan Stanley Asia Limited
  • Morgan Stanley & Co., International plc
  • Morgan Stanley & Co. LLC
  • Morgan Stanley Hong Kong Securities Limited
  • Morgan Stanley Capital Products LLC
  • Morgan Stanley Capital (Luxembourg) S.A.
  • Morgan Stanley Capital Services LLC
  • Morgan Stanley Asia Securities Products LLC
  • Morgan Stanley Asia Products Limited
  • Morgan Stanley B.V.
  • Morgan Stanley France S.A.
  • Morgan Stanley Europe S.E.
Standard Chartered Bank
  • Standard Chartered Bank
  • Standard Chartered Bank, Singapore Branch
  • Standard Chartered Bank (Hong Kong) Limited
  • Standard Chartered Securities (Hong Kong) Limited
  • Standard Chartered Bank (Singapore) Limited
  • Standard Chartered Bank AG
UBS
  • The Equities Department of UBS AG (Hong Kong Branch, Singapore Branch, London Branch, Australian Branch and Zurich)
  • The Equities Department of UBS Securities LLC
  • UBS Switzerland AG
  • UBS Limited
  • UBS Europe SE
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