UBS SECURITIES HONG KONG 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 |
|---|---|---|---|---|
| 2024-08-01 | 15 | 168 | 183 | 91.80% |
| 2023-12-31 | 13 | 183 | 196 | 93.37% |
| 2022-12-31 | 13 | 175 | 188 | 93.09% |
| 2021-12-31 | 13 | 178 | 191 | 93.19% |
| 2020-12-31 | 12 | 172 | 184 | 93.48% |
| 2019-12-31 | 11 | 133 | 144 | 92.36% |
| 2018-12-31 | 8 | 165 | 173 | 95.38% |
| 2017-12-31 | 13 | 156 | 169 | 92.31% |
| 2016-12-31 | 12 | 180 | 192 | 93.75% |
| 2015-12-31 | 10 | 210 | 220 | 95.45% |
| 2014-12-31 | 13 | 219 | 232 | 94.40% |
| 2013-12-31 | 7 | 238 | 245 | 97.14% |
| 2012-12-31 | 9 | 249 | 258 | 96.51% |
| 2011-12-31 | 0 | 0 | 0 | 0.00% |
| 2010-12-31 | 0 | 0 | 0 | 0.00% |
| 2009-12-31 | 0 | 0 | 0 | 0.00% |
| 2008-12-31 | 0 | 0 | 0 | 0.00% |
| 2007-12-31 | 0 | 0 | 0 | 0.00% |
| 2006-12-31 | 0 | 0 | 0 | 0.00% |
| 2005-12-31 | 0 | 0 | 0 | 0.00% |
| 2004-12-31 | 3 | 12 | 15 | 80.00% |
| 2003-12-31 | 3 | 14 | 17 | 82.35% |
| 2003-03-31 | 3 | 19 | 22 | 86.36% |
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