CLSA LIMITED 中信里昂證券有限公司
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 |
|---|---|---|---|---|
| 2025-09-27 | 48 | 1068 | 1116 | 95.70% |
| 2024-12-31 | 41 | 861 | 902 | 95.45% |
| 2023-12-31 | 35 | 629 | 664 | 94.73% |
| 2022-12-31 | 33 | 474 | 507 | 93.49% |
| 2021-12-31 | 22 | 331 | 353 | 93.77% |
| 2020-12-31 | 18 | 214 | 232 | 92.24% |
| 2019-12-31 | 22 | 216 | 238 | 90.76% |
| 2018-12-31 | 29 | 209 | 238 | 87.82% |
| 2017-12-31 | 18 | 185 | 203 | 91.13% |
| 2016-12-31 | 17 | 163 | 180 | 90.56% |
| 2015-12-31 | 15 | 183 | 198 | 92.42% |
| 2014-12-31 | 11 | 150 | 161 | 93.17% |
| 2013-12-31 | 3 | 149 | 152 | 98.03% |
| 2012-12-31 | 4 | 150 | 154 | 97.40% |
| 2011-12-31 | 7 | 184 | 191 | 96.34% |
| 2010-12-31 | 7 | 176 | 183 | 96.17% |
| 2009-12-31 | 7 | 146 | 153 | 95.42% |
| 2008-12-31 | 7 | 143 | 150 | 95.33% |
| 2007-12-31 | 7 | 112 | 119 | 94.12% |
| 2006-12-31 | 6 | 77 | 83 | 92.77% |
| 2005-12-31 | 7 | 60 | 67 | 89.55% |
| 2004-12-31 | 7 | 51 | 58 | 87.93% |
| 2003-12-31 | 8 | 58 | 66 | 87.88% |
| 2003-03-31 | 7 | 53 | 60 | 88.33% |
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