SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED 西證(香港)證券經紀有限公司
This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.
| Date | ROs | Reps | Total | Reps v total |
|---|---|---|---|---|
| 2024-11-23 | 3 | 0 | 3 | 0.00% |
| 2023-12-31 | 3 | 0 | 3 | 0.00% |
| 2022-12-31 | 5 | 3 | 8 | 37.50% |
| 2021-12-31 | 9 | 13 | 22 | 59.09% |
| 2020-12-31 | 10 | 20 | 30 | 66.67% |
| 2019-12-31 | 11 | 25 | 36 | 69.44% |
| 2018-12-31 | 11 | 38 | 49 | 77.55% |
| 2017-12-31 | 10 | 44 | 54 | 81.48% |
| 2016-12-31 | 8 | 49 | 57 | 85.96% |
| 2015-12-31 | 8 | 46 | 54 | 85.19% |
| 2014-12-31 | 5 | 48 | 53 | 90.57% |
| 2013-12-31 | 4 | 67 | 71 | 94.37% |
| 2012-12-31 | 3 | 74 | 77 | 96.10% |
| 2011-12-31 | 3 | 74 | 77 | 96.10% |
| 2010-12-31 | 5 | 84 | 89 | 94.38% |
| 2009-12-31 | 4 | 57 | 61 | 93.44% |
| 2008-12-31 | 3 | 55 | 58 | 94.83% |
| 2007-12-31 | 3 | 71 | 74 | 95.95% |
| 2006-12-31 | 2 | 41 | 43 | 95.35% |
| 2005-12-31 | 2 | 38 | 40 | 95.00% |
| 2004-12-31 | 2 | 32 | 34 | 94.12% |
| 2003-12-31 | 2 | 29 | 31 | 93.55% |
| 2003-03-31 | 2 | 14 | 16 | 87.50% |
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