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 |
|---|---|---|---|---|
| 2025-09-21 | 2 | 141 | 143 | 98.60% |
| 2024-12-31 | 3 | 134 | 137 | 97.81% |
| 2023-12-31 | 3 | 121 | 124 | 97.58% |
| 2022-12-31 | 2 | 84 | 86 | 97.67% |
| 2021-12-31 | 4 | 89 | 93 | 95.70% |
| 2020-12-31 | 3 | 110 | 113 | 97.35% |
| 2019-12-31 | 3 | 124 | 127 | 97.64% |
| 2018-12-31 | 3 | 120 | 123 | 97.56% |
| 2017-12-31 | 3 | 123 | 126 | 97.62% |
| 2016-12-31 | 4 | 133 | 137 | 97.08% |
| 2015-12-31 | 2 | 174 | 176 | 98.86% |
| 2014-12-31 | 3 | 197 | 200 | 98.50% |
| 2013-12-31 | 3 | 233 | 236 | 98.73% |
| 2012-12-31 | 3 | 227 | 230 | 98.70% |
| 2011-12-31 | 4 | 249 | 253 | 98.42% |
| 2010-12-31 | 3 | 209 | 212 | 98.58% |
| 2009-12-31 | 3 | 163 | 166 | 98.19% |
| 2008-12-31 | 3 | 120 | 123 | 97.56% |
| 2007-12-31 | 4 | 125 | 129 | 96.90% |
| 2006-12-31 | 2 | 107 | 109 | 98.17% |
| 2005-12-31 | 3 | 51 | 54 | 94.44% |
| 2004-12-31 | 7 | 98 | 105 | 93.33% |
| 2003-12-31 | 7 | 115 | 122 | 94.26% |
| 2003-03-31 | 11 | 203 | 214 | 94.86% |
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