SMBC Nikko Securities (Hong Kong) Limited 日興證券（香港）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 |
|---|---|---|---|---|
| 2025-09-28 | 11 | 115 | 126 | 91.27% |
| 2024-12-31 | 8 | 62 | 70 | 88.57% |
| 2023-12-31 | 8 | 38 | 46 | 82.61% |
| 2022-12-31 | 11 | 40 | 51 | 78.43% |
| 2021-12-31 | 11 | 31 | 42 | 73.81% |
| 2020-12-31 | 9 | 37 | 46 | 80.43% |
| 2019-12-31 | 10 | 36 | 46 | 78.26% |
| 2018-12-31 | 11 | 40 | 51 | 78.43% |
| 2017-12-31 | 12 | 29 | 41 | 70.73% |
| 2016-12-31 | 10 | 27 | 37 | 72.97% |
| 2015-12-31 | 9 | 27 | 36 | 75.00% |
| 2014-12-31 | 8 | 26 | 34 | 76.47% |
| 2013-12-31 | 7 | 21 | 28 | 75.00% |
| 2012-12-31 | 8 | 23 | 31 | 74.19% |
| 2011-12-31 | 4 | 17 | 21 | 80.95% |
| 2010-12-31 | 2 | 4 | 6 | 66.67% |
| 2009-12-31 | 5 | 1 | 6 | 16.67% |
| 2008-12-31 | 5 | 2 | 7 | 28.57% |
| 2007-12-31 | 4 | 4 | 8 | 50.00% |
| 2006-12-31 | 3 | 6 | 9 | 66.67% |
| 2005-12-31 | 2 | 3 | 5 | 60.00% |
| 2004-12-31 | 3 | 3 | 6 | 50.00% |
| 2003-12-31 | 2 | 1 | 3 | 33.33% |
| 2003-03-31 | 2 | 2 | 4 | 50.00% |
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