UBS SECURITIES HONG KONG LIMITED
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 |
|---|---|---|---|---|
| 2025-09-28 | 12 | 151 | 163 | 92.64% |
| 2024-12-31 | 14 | 158 | 172 | 91.86% |
| 2023-12-31 | 14 | 162 | 176 | 92.05% |
| 2022-12-31 | 14 | 138 | 152 | 90.79% |
| 2021-12-31 | 15 | 127 | 142 | 89.44% |
| 2020-12-31 | 13 | 120 | 133 | 90.23% |
| 2019-12-31 | 11 | 106 | 117 | 90.60% |
| 2018-12-31 | 14 | 104 | 118 | 88.14% |
| 2017-12-31 | 9 | 110 | 119 | 92.44% |
| 2016-12-31 | 8 | 108 | 116 | 93.10% |
| 2015-12-31 | 8 | 118 | 126 | 93.65% |
| 2014-12-31 | 7 | 114 | 121 | 94.21% |
| 2013-12-31 | 7 | 112 | 119 | 94.12% |
| 2012-12-31 | 9 | 99 | 108 | 91.67% |
| 2011-12-31 | 9 | 106 | 115 | 92.17% |
| 2010-12-31 | 8 | 80 | 88 | 90.91% |
| 2009-12-31 | 6 | 61 | 67 | 91.04% |
| 2008-12-31 | 4 | 52 | 56 | 92.86% |
| 2007-12-31 | 6 | 53 | 59 | 89.83% |
| 2006-12-31 | 6 | 43 | 49 | 87.76% |
| 2005-12-31 | 4 | 24 | 28 | 85.71% |
| 2004-12-31 | 6 | 21 | 27 | 77.78% |
| 2003-12-31 | 5 | 17 | 22 | 77.27% |
| 2003-03-31 | 5 | 19 | 24 | 79.17% |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy