CMBC ASSET MANAGEMENT COMPANY LIMITED 民銀資產管理有限公司
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 |
|---|---|---|---|---|
| 2024-06-28 | 5 | 15 | 20 | 75.00% |
| 2024-05-31 | 5 | 17 | 22 | 77.27% |
| 2024-04-30 | 5 | 18 | 23 | 78.26% |
| 2024-03-31 | 6 | 18 | 24 | 75.00% |
| 2024-02-29 | 6 | 18 | 24 | 75.00% |
| 2024-01-31 | 6 | 18 | 24 | 75.00% |
| 2023-12-31 | 6 | 16 | 22 | 72.73% |
| 2023-11-30 | 6 | 16 | 22 | 72.73% |
| 2023-10-31 | 6 | 16 | 22 | 72.73% |
| 2023-09-30 | 6 | 16 | 22 | 72.73% |
| 2023-08-31 | 4 | 17 | 21 | 80.95% |
| 2023-07-31 | 4 | 17 | 21 | 80.95% |
| 2023-06-30 | 3 | 18 | 21 | 85.71% |
| 2023-05-31 | 3 | 19 | 22 | 86.36% |
| 2023-04-30 | 3 | 20 | 23 | 86.96% |
| 2023-03-31 | 3 | 20 | 23 | 86.96% |
| 2023-02-28 | 3 | 20 | 23 | 86.96% |
| 2023-01-31 | 3 | 19 | 22 | 86.36% |
| 2022-12-31 | 4 | 20 | 24 | 83.33% |
| 2022-11-30 | 4 | 21 | 25 | 84.00% |
| 2022-10-31 | 4 | 22 | 26 | 84.62% |
| 2022-09-30 | 3 | 23 | 26 | 88.46% |
| 2022-08-31 | 3 | 23 | 26 | 88.46% |
| 2022-07-31 | 3 | 24 | 27 | 88.89% |
| 2022-06-30 | 3 | 23 | 26 | 88.46% |
| 2022-05-31 | 3 | 24 | 27 | 88.89% |
| 2022-04-30 | 3 | 23 | 26 | 88.46% |
| 2022-03-31 | 3 | 24 | 27 | 88.89% |
| 2022-02-28 | 3 | 24 | 27 | 88.89% |
| 2022-01-31 | 3 | 26 | 29 | 89.66% |
| 2021-12-31 | 3 | 27 | 30 | 90.00% |
| 2021-11-30 | 3 | 28 | 31 | 90.32% |
| 2021-10-31 | 3 | 28 | 31 | 90.32% |
| 2021-09-30 | 3 | 28 | 31 | 90.32% |
| 2021-08-31 | 3 | 27 | 30 | 90.00% |
| 2021-07-31 | 4 | 27 | 31 | 87.10% |
| 2021-06-30 | 5 | 27 | 32 | 84.38% |
| 2021-05-31 | 5 | 23 | 28 | 82.14% |
| 2021-04-30 | 5 | 21 | 26 | 80.77% |
| 2021-03-31 | 5 | 22 | 27 | 81.48% |
| 2021-02-28 | 5 | 21 | 26 | 80.77% |
| 2021-01-31 | 5 | 25 | 30 | 83.33% |
| 2020-12-31 | 6 | 24 | 30 | 80.00% |
| 2020-11-30 | 5 | 24 | 29 | 82.76% |
| 2020-10-31 | 5 | 23 | 28 | 82.14% |
| 2020-09-30 | 5 | 23 | 28 | 82.14% |
| 2020-08-31 | 5 | 22 | 27 | 81.48% |
| 2020-07-31 | 5 | 20 | 25 | 80.00% |
| 2020-06-30 | 5 | 17 | 22 | 77.27% |
| 2020-05-31 | 5 | 21 | 26 | 80.77% |
| 2020-04-30 | 5 | 21 | 26 | 80.77% |
| 2020-03-31 | 5 | 21 | 26 | 80.77% |
| 2020-02-29 | 5 | 20 | 25 | 80.00% |
| 2020-01-31 | 5 | 19 | 24 | 79.17% |
| 2019-12-31 | 6 | 17 | 23 | 73.91% |
| 2019-11-30 | 6 | 17 | 23 | 73.91% |
| 2019-10-31 | 6 | 17 | 23 | 73.91% |
| 2019-09-30 | 6 | 17 | 23 | 73.91% |
| 2019-08-31 | 6 | 14 | 20 | 70.00% |
| 2019-07-31 | 6 | 14 | 20 | 70.00% |
| 2019-06-30 | 5 | 15 | 20 | 75.00% |
| 2019-05-31 | 5 | 15 | 20 | 75.00% |
| 2019-04-30 | 5 | 13 | 18 | 72.22% |
| 2019-03-31 | 6 | 13 | 19 | 68.42% |
| 2019-02-28 | 6 | 12 | 18 | 66.67% |
| 2019-01-31 | 5 | 13 | 18 | 72.22% |
| 2018-12-31 | 4 | 14 | 18 | 77.78% |
| 2018-11-30 | 4 | 12 | 16 | 75.00% |
| 2018-10-31 | 4 | 14 | 18 | 77.78% |
| 2018-09-30 | 4 | 12 | 16 | 75.00% |
| 2018-08-31 | 4 | 10 | 14 | 71.43% |
| 2018-07-31 | 4 | 10 | 14 | 71.43% |
| 2018-06-30 | 3 | 9 | 12 | 75.00% |
| 2018-05-31 | 3 | 9 | 12 | 75.00% |
| 2018-04-30 | 2 | 10 | 12 | 83.33% |
| 2018-03-31 | 3 | 8 | 11 | 72.73% |
| 2018-02-28 | 3 | 8 | 11 | 72.73% |
| 2018-01-31 | 3 | 6 | 9 | 66.67% |
| 2017-12-31 | 3 | 7 | 10 | 70.00% |
| 2017-11-30 | 2 | 5 | 7 | 71.43% |
| 2017-10-31 | 2 | 3 | 5 | 60.00% |
| 2017-09-30 | 2 | 4 | 6 | 66.67% |
| 2017-08-31 | 2 | 5 | 7 | 71.43% |
| 2017-07-31 | 2 | 3 | 5 | 60.00% |
| 2017-06-30 | 1 | 3 | 4 | 75.00% |
| 2017-05-31 | 1 | 1 | 2 | 50.00% |
| 2017-04-30 | 1 | 0 | 1 | 0.00% |
| 2017-03-31 | 1 | 0 | 1 | 0.00% |
| 2017-02-28 | 1 | 0 | 1 | 0.00% |
| 2017-01-31 | 1 | 0 | 1 | 0.00% |
| 2016-12-31 | 1 | 0 | 1 | 0.00% |
| 2016-11-30 | 1 | 0 | 1 | 0.00% |
| 2016-10-31 | 1 | 0 | 1 | 0.00% |
| 2016-09-30 | 2 | 0 | 2 | 0.00% |
| 2016-08-31 | 2 | 0 | 2 | 0.00% |
| 2016-07-31 | 2 | 0 | 2 | 0.00% |
| 2016-06-30 | 2 | 0 | 2 | 0.00% |
| 2016-05-31 | 2 | 0 | 2 | 0.00% |
| 2016-04-30 | 2 | 0 | 2 | 0.00% |
| 2016-03-31 | 2 | 0 | 2 | 0.00% |
| 2016-02-29 | 2 | 0 | 2 | 0.00% |
| 2016-01-31 | 2 | 0 | 2 | 0.00% |
| 2015-12-31 | 2 | 0 | 2 | 0.00% |
| 2015-11-30 | 0 | 0 | 0 | 0.00% |
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