CLSA LIMITED 中信里昂證券有限公司
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 | 13 | 236 | 249 | 94.78% |
| 2024-12-31 | 11 | 227 | 238 | 95.38% |
| 2023-12-31 | 12 | 213 | 225 | 94.67% |
| 2022-12-31 | 12 | 161 | 173 | 93.06% |
| 2021-12-31 | 12 | 159 | 171 | 92.98% |
| 2020-12-31 | 9 | 191 | 200 | 95.50% |
| 2019-12-31 | 12 | 179 | 191 | 93.72% |
| 2018-12-31 | 14 | 187 | 201 | 93.03% |
| 2017-12-31 | 7 | 163 | 170 | 95.88% |
| 2016-12-31 | 6 | 143 | 149 | 95.97% |
| 2015-12-31 | 6 | 145 | 151 | 96.03% |
| 2014-12-31 | 6 | 132 | 138 | 95.65% |
| 2013-12-31 | 4 | 125 | 129 | 96.90% |
| 2012-12-31 | 5 | 133 | 138 | 96.38% |
| 2011-12-31 | 5 | 50 | 55 | 90.91% |
| 2010-12-31 | 5 | 40 | 45 | 88.89% |
| 2009-12-31 | 5 | 22 | 27 | 81.48% |
| 2008-12-31 | 5 | 13 | 18 | 72.22% |
| 2007-12-31 | 5 | 17 | 22 | 77.27% |
| 2006-12-31 | 5 | 26 | 31 | 83.87% |
| 2005-12-31 | 6 | 17 | 23 | 73.91% |
| 2004-12-31 | 6 | 16 | 22 | 72.73% |
| 2003-12-31 | 6 | 52 | 58 | 89.66% |
| 2003-03-31 | 7 | 62 | 69 | 89.86% |
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