Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司
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 |
|---|---|---|---|---|
| 2025-09-21 | 6 | 35 | 41 | 85.37% |
| 2024-12-31 | 5 | 38 | 43 | 88.37% |
| 2023-12-31 | 7 | 45 | 52 | 86.54% |
| 2022-12-31 | 7 | 48 | 55 | 87.27% |
| 2021-12-31 | 5 | 49 | 54 | 90.74% |
| 2020-12-31 | 5 | 48 | 53 | 90.57% |
| 2019-12-31 | 5 | 44 | 49 | 89.80% |
| 2018-12-31 | 5 | 43 | 48 | 89.58% |
| 2017-12-31 | 5 | 40 | 45 | 88.89% |
| 2016-12-31 | 3 | 41 | 44 | 93.18% |
| 2015-12-31 | 4 | 44 | 48 | 91.67% |
| 2014-12-31 | 4 | 45 | 49 | 91.84% |
| 2013-12-31 | 4 | 58 | 62 | 93.55% |
| 2012-12-31 | 4 | 63 | 67 | 94.03% |
| 2011-12-31 | 6 | 98 | 104 | 94.23% |
| 2010-12-31 | 7 | 93 | 100 | 93.00% |
| 2009-12-31 | 5 | 53 | 58 | 91.38% |
| 2008-12-31 | 3 | 16 | 19 | 84.21% |
| 2007-12-31 | 3 | 8 | 11 | 72.73% |
| 2006-12-31 | 4 | 2 | 6 | 33.33% |
| 2005-12-31 | 4 | 1 | 5 | 20.00% |
| 2004-12-31 | 2 | 16 | 18 | 88.89% |
| 2003-12-31 | 1 | 25 | 26 | 96.15% |
| 2003-03-31 | 1 | 35 | 36 | 97.22% |
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