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 |
|---|---|---|---|---|
| 2025-10-03 | 9 | 135 | 144 | 93.75% |
| 2024-12-31 | 11 | 140 | 151 | 92.72% |
| 2023-12-31 | 10 | 139 | 149 | 93.29% |
| 2022-12-31 | 10 | 114 | 124 | 91.94% |
| 2021-12-31 | 9 | 108 | 117 | 92.31% |
| 2020-12-31 | 7 | 97 | 104 | 93.27% |
| 2019-12-31 | 4 | 88 | 92 | 95.65% |
| 2018-12-31 | 8 | 78 | 86 | 90.70% |
| 2017-12-31 | 7 | 77 | 84 | 91.67% |
| 2016-12-31 | 6 | 74 | 80 | 92.50% |
| 2015-12-31 | 0 | 0 | 0 | 0.00% |
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