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 |
|---|---|---|---|---|
| 2024-08-01 | 8 | 14 | 22 | 63.64% |
| 2023-12-31 | 9 | 11 | 20 | 55.00% |
| 2022-12-31 | 10 | 6 | 16 | 37.50% |
| 2021-12-31 | 7 | 10 | 17 | 58.82% |
| 2020-12-31 | 7 | 9 | 16 | 56.25% |
| 2019-12-31 | 7 | 10 | 17 | 58.82% |
| 2018-12-31 | 7 | 9 | 16 | 56.25% |
| 2017-12-31 | 7 | 9 | 16 | 56.25% |
| 2016-12-31 | 6 | 7 | 13 | 53.85% |
| 2015-12-31 | 7 | 16 | 23 | 69.57% |
| 2014-12-31 | 6 | 21 | 27 | 77.78% |
| 2013-12-31 | 7 | 27 | 34 | 79.41% |
| 2012-12-31 | 7 | 43 | 50 | 86.00% |
| 2011-12-31 | 7 | 73 | 80 | 91.25% |
| 2010-12-31 | 11 | 36 | 47 | 76.60% |
| 2009-12-31 | 7 | 22 | 29 | 75.86% |
| 2008-12-31 | 8 | 30 | 38 | 78.95% |
| 2007-12-31 | 7 | 22 | 29 | 75.86% |
| 2006-12-31 | 6 | 11 | 17 | 64.71% |
| 2005-12-31 | 3 | 8 | 11 | 72.73% |
| 2004-12-31 | 3 | 22 | 25 | 88.00% |
| 2003-12-31 | 2 | 25 | 27 | 92.59% |
| 2003-03-31 | 2 | 35 | 37 | 94.59% |
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