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 |
|---|---|---|---|---|
| 2025-10-03 | 10 | 172 | 182 | 94.51% |
| 2024-12-31 | 12 | 182 | 194 | 93.81% |
| 2023-12-31 | 11 | 182 | 193 | 94.30% |
| 2022-12-31 | 11 | 157 | 168 | 93.45% |
| 2021-12-31 | 10 | 151 | 161 | 93.79% |
| 2020-12-31 | 9 | 141 | 150 | 94.00% |
| 2019-12-31 | 7 | 133 | 140 | 95.00% |
| 2018-12-31 | 8 | 131 | 139 | 94.24% |
| 2017-12-31 | 8 | 139 | 147 | 94.56% |
| 2016-12-31 | 6 | 137 | 143 | 95.80% |
| 2015-12-31 | 5 | 155 | 160 | 96.88% |
| 2014-12-31 | 5 | 146 | 151 | 96.69% |
| 2013-12-31 | 3 | 161 | 164 | 98.17% |
| 2012-12-31 | 4 | 149 | 153 | 97.39% |
| 2011-12-31 | 4 | 162 | 166 | 97.59% |
| 2010-12-31 | 2 | 129 | 131 | 98.47% |
| 2009-12-31 | 2 | 104 | 106 | 98.11% |
| 2008-12-31 | 2 | 100 | 102 | 98.04% |
| 2007-12-31 | 2 | 100 | 102 | 98.04% |
| 2006-12-31 | 2 | 74 | 76 | 97.37% |
| 2005-12-31 | 2 | 57 | 59 | 96.61% |
| 2004-12-31 | 4 | 38 | 42 | 90.48% |
| 2003-12-31 | 3 | 27 | 30 | 90.00% |
| 2003-03-31 | 2 | 18 | 20 | 90.00% |
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