UBS SECURITIES ASIA 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 |
|---|---|---|---|---|
| 2025-09-27 | 14 | 224 | 238 | 94.12% |
| 2024-12-31 | 16 | 228 | 244 | 93.44% |
| 2023-12-31 | 16 | 225 | 241 | 93.36% |
| 2022-12-31 | 16 | 203 | 219 | 92.69% |
| 2021-12-31 | 17 | 193 | 210 | 91.90% |
| 2020-12-31 | 16 | 202 | 218 | 92.66% |
| 2019-12-31 | 15 | 192 | 207 | 92.75% |
| 2018-12-31 | 16 | 205 | 221 | 92.76% |
| 2017-12-31 | 9 | 216 | 225 | 96.00% |
| 2016-12-31 | 8 | 221 | 229 | 96.51% |
| 2015-12-31 | 8 | 270 | 278 | 97.12% |
| 2014-12-31 | 7 | 271 | 278 | 97.48% |
| 2013-12-31 | 9 | 309 | 318 | 97.17% |
| 2012-12-31 | 11 | 294 | 305 | 96.39% |
| 2011-12-31 | 12 | 308 | 320 | 96.25% |
| 2010-12-31 | 10 | 251 | 261 | 96.17% |
| 2009-12-31 | 5 | 192 | 197 | 97.46% |
| 2008-12-31 | 5 | 173 | 178 | 97.19% |
| 2007-12-31 | 6 | 196 | 202 | 97.03% |
| 2006-12-31 | 5 | 149 | 154 | 96.75% |
| 2005-12-31 | 4 | 126 | 130 | 96.92% |
| 2004-12-31 | 11 | 104 | 115 | 90.43% |
| 2003-12-31 | 10 | 98 | 108 | 90.74% |
| 2003-03-31 | 11 | 116 | 127 | 91.34% |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy