UBS Asset Management (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 | 10 | 38 | 48 | 79.17% |
| 2024-12-31 | 12 | 38 | 50 | 76.00% |
| 2023-12-31 | 11 | 45 | 56 | 80.36% |
| 2022-12-31 | 8 | 42 | 50 | 84.00% |
| 2021-12-31 | 10 | 39 | 49 | 79.59% |
| 2020-12-31 | 9 | 42 | 51 | 82.35% |
| 2019-12-31 | 5 | 50 | 55 | 90.91% |
| 2018-12-31 | 7 | 56 | 63 | 88.89% |
| 2017-12-31 | 6 | 66 | 72 | 91.67% |
| 2016-12-31 | 7 | 63 | 70 | 90.00% |
| 2015-12-31 | 8 | 50 | 58 | 86.21% |
| 2014-12-31 | 8 | 36 | 44 | 81.82% |
| 2013-12-31 | 4 | 30 | 34 | 88.24% |
| 2012-12-31 | 5 | 1 | 6 | 16.67% |
| 2011-12-31 | 0 | 0 | 0 | 0.00% |
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