SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 山證國際資產管理有限公司
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 |
|---|---|---|---|---|
| 2024-11-13 | 4 | 5 | 9 | 55.56% |
| 2023-12-31 | 5 | 7 | 12 | 58.33% |
| 2022-12-31 | 4 | 8 | 12 | 66.67% |
| 2021-12-31 | 5 | 5 | 10 | 50.00% |
| 2020-12-31 | 5 | 6 | 11 | 54.55% |
| 2019-12-31 | 5 | 3 | 8 | 37.50% |
| 2018-12-31 | 1 | 2 | 3 | 66.67% |
| 2017-12-31 | 2 | 3 | 5 | 60.00% |
| 2016-12-31 | 2 | 2 | 4 | 50.00% |
| 2015-12-31 | 2 | 3 | 5 | 60.00% |
| 2014-12-31 | 0 | 0 | 0 | 0.00% |
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