CLSA LIMITED 中信里昂證券有限公司

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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
2024-06-16 40 922 962 95.84%
2024-05-31 41 912 953 95.70%
2024-04-30 42 911 953 95.59%
2024-03-31 42 904 946 95.56%
2024-02-29 43 871 914 95.30%
2024-01-31 41 844 885 95.37%
2023-12-31 40 832 872 95.41%
2023-11-30 40 807 847 95.28%
2023-10-31 38 797 835 95.45%
2023-09-30 38 793 831 95.43%
2023-08-31 37 742 779 95.25%
2023-07-31 37 725 762 95.14%
2023-06-30 38 724 762 95.01%
2023-05-31 38 701 739 94.86%
2023-04-30 38 677 715 94.69%
2023-03-31 39 655 694 94.38%
2023-02-28 39 639 678 94.25%
2023-01-31 38 639 677 94.39%
2022-12-31 38 625 663 94.27%
2022-11-30 40 598 638 93.73%
2022-10-31 37 587 624 94.07%
2022-09-30 34 581 615 94.47%
2022-08-31 32 578 610 94.75%
2022-07-31 32 570 602 94.68%
2022-06-30 31 565 596 94.80%
2022-05-31 31 538 569 94.55%
2022-04-30 32 513 545 94.13%
2022-03-31 32 501 533 94.00%
2022-02-28 32 499 531 93.97%
2022-01-31 31 494 525 94.10%
2021-12-31 29 476 505 94.26%
2021-11-30 29 447 476 93.91%
2021-10-31 28 436 464 93.97%
2021-09-30 26 420 446 94.17%
2021-08-31 24 401 425 94.35%
2021-07-31 21 392 413 94.92%
2021-06-30 22 388 410 94.63%
2021-05-31 21 369 390 94.62%
2021-04-30 20 363 383 94.78%
2021-03-31 22 347 369 94.04%
2021-02-28 21 321 342 93.86%
2021-01-31 21 315 336 93.75%
2020-12-31 21 306 327 93.58%
2020-11-30 21 298 319 93.42%
2020-10-31 22 292 314 92.99%
2020-09-30 22 289 311 92.93%
2020-08-31 22 286 308 92.86%
2020-07-31 22 297 319 93.10%
2020-06-30 23 294 317 92.74%
2020-05-31 23 295 318 92.77%
2020-04-30 24 302 326 92.64%
2020-03-31 25 307 332 92.47%
2020-02-29 27 302 329 91.79%
2020-01-31 27 306 333 91.89%
2019-12-31 24 310 334 92.81%
2019-11-30 23 325 348 93.39%
2019-10-31 24 328 352 93.18%
2019-09-30 22 329 351 93.73%
2019-08-31 21 324 345 93.91%
2019-07-31 20 320 340 94.12%
2019-06-30 22 309 331 93.35%
2019-05-31 22 320 342 93.57%
2019-04-30 25 329 354 92.94%
2019-03-31 29 329 358 91.90%
2019-02-28 30 322 352 91.48%
2019-01-31 30 314 344 91.28%
2018-12-31 31 316 347 91.07%
2018-11-30 31 316 347 91.07%
2018-10-31 31 315 346 91.04%
2018-09-30 28 315 343 91.84%
2018-08-31 27 312 339 92.04%
2018-07-31 27 312 339 92.04%
2018-06-30 26 311 337 92.28%
2018-05-31 26 305 331 92.15%
2018-04-30 26 300 326 92.02%
2018-03-31 26 303 329 92.10%
2018-02-28 26 289 315 91.75%
2018-01-31 23 283 306 92.48%
2017-12-31 21 282 303 93.07%
2017-11-30 21 278 299 92.98%
2017-10-31 19 279 298 93.62%
2017-09-30 19 262 281 93.24%
2017-08-31 18 258 276 93.48%
2017-07-31 19 255 274 93.07%
2017-06-30 21 255 276 92.39%
2017-05-31 21 254 275 92.36%
2017-04-30 21 258 279 92.47%
2017-03-31 21 266 287 92.68%
2017-02-28 21 263 284 92.61%
2017-01-31 21 263 284 92.61%
2016-12-31 22 264 286 92.31%
2016-11-30 22 267 289 92.39%
2016-10-31 22 265 287 92.33%
2016-09-30 22 270 292 92.47%
2016-08-31 22 275 297 92.59%
2016-07-31 20 277 297 93.27%
2016-06-30 20 277 297 93.27%
2016-05-31 20 272 292 93.15%
2016-04-30 20 272 292 93.15%
2016-03-31 20 274 294 93.20%
2016-02-29 20 272 292 93.15%
2016-01-31 20 276 296 93.24%
2015-12-31 20 279 299 93.31%
2015-11-30 19 278 297 93.60%
2015-10-31 20 278 298 93.29%
2015-09-30 20 281 301 93.36%
2015-08-31 19 274 293 93.52%
2015-07-31 17 276 293 94.20%
2015-06-30 17 276 293 94.20%
2015-05-31 17 300 317 94.64%
2015-04-30 17 304 321 94.70%
2015-03-31 14 274 288 95.14%
2015-02-28 15 273 288 94.79%
2015-01-31 15 274 289 94.81%
2014-12-31 15 270 285 94.74%
2014-11-30 14 272 286 95.10%
2014-10-31 14 271 285 95.09%
2014-09-30 12 274 286 95.80%
2014-08-31 11 266 277 96.03%
2014-07-31 9 262 271 96.68%
2014-06-30 7 266 273 97.44%
2014-05-31 6 268 274 97.81%
2014-04-30 4 269 273 98.53%
2014-03-31 4 272 276 98.55%
2014-02-28 4 273 277 98.56%
2014-01-31 4 265 269 98.51%
2013-12-31 4 267 271 98.52%
2013-11-30 5 266 271 98.15%
2013-10-31 5 264 269 98.14%
2013-09-30 5 270 275 98.18%
2013-08-31 5 263 268 98.13%
2013-07-31 5 266 271 98.15%
2013-06-30 5 269 274 98.18%
2013-05-31 5 273 278 98.20%
2013-04-30 5 272 277 98.19%
2013-03-31 5 274 279 98.21%
2013-02-28 5 273 278 98.20%
2013-01-31 5 272 277 98.19%
2012-12-31 5 275 280 98.21%
2012-11-30 5 202 207 97.58%
2012-10-31 5 199 204 97.55%
2012-09-30 5 199 204 97.55%
2012-08-31 5 198 203 97.54%
2012-07-31 5 191 196 97.45%
2012-06-30 6 187 193 96.89%
2012-05-31 6 201 207 97.10%
2012-04-30 6 201 207 97.10%
2012-03-31 6 202 208 97.12%
2012-02-29 6 203 209 97.13%
2012-01-31 7 207 214 96.73%
2011-12-31 7 232 239 97.07%
2011-11-30 8 231 239 96.65%
2011-10-31 7 231 238 97.06%
2011-09-30 7 227 234 97.01%
2011-08-31 7 216 223 96.86%
2011-07-31 7 212 219 96.80%
2011-06-30 7 213 220 96.82%
2011-05-31 7 218 225 96.89%
2011-04-30 7 218 225 96.89%
2011-03-31 7 217 224 96.88%
2011-02-28 7 215 222 96.85%
2011-01-31 7 214 221 96.83%
2010-12-31 7 213 220 96.82%
2010-11-30 7 214 221 96.83%
2010-10-31 7 215 222 96.85%
2010-09-30 7 212 219 96.80%
2010-08-31 7 192 199 96.48%
2010-07-31 7 188 195 96.41%
2010-06-30 7 183 190 96.32%
2010-05-31 7 179 186 96.24%
2010-04-30 7 177 184 96.20%
2010-03-31 7 167 174 95.98%
2010-02-28 7 161 168 95.83%
2010-01-31 7 160 167 95.81%
2009-12-31 7 163 170 95.88%
2009-11-30 7 163 170 95.88%
2009-10-31 7 167 174 95.98%
2009-09-30 7 164 171 95.91%
2009-08-31 7 156 163 95.71%
2009-07-31 6 157 163 96.32%
2009-06-30 6 154 160 96.25%
2009-05-31 7 152 159 95.60%
2009-04-30 7 149 156 95.51%
2009-03-31 7 148 155 95.48%
2009-02-28 7 157 164 95.73%
2009-01-31 7 157 164 95.73%
2008-12-31 7 154 161 95.65%
2008-11-30 7 156 163 95.71%
2008-10-31 7 178 185 96.22%
2008-09-30 7 178 185 96.22%
2008-08-31 7 148 155 95.48%
2008-07-31 7 150 157 95.54%
2008-06-30 7 152 159 95.60%
2008-05-31 7 151 158 95.57%
2008-04-30 7 154 161 95.65%
2008-03-31 7 152 159 95.60%
2008-02-29 7 146 153 95.42%
2008-01-31 7 126 133 94.74%
2007-12-31 7 123 130 94.62%
2007-11-30 7 120 127 94.49%
2007-10-31 7 118 125 94.40%
2007-09-30 7 120 127 94.49%
2007-08-31 7 114 121 94.21%
2007-07-31 7 113 120 94.17%
2007-06-30 7 109 116 93.97%
2007-05-31 7 102 109 93.58%
2007-04-30 7 100 107 93.46%
2007-03-31 7 105 112 93.75%
2007-02-28 6 106 112 94.64%
2007-01-31 6 99 105 94.29%
2006-12-31 6 97 103 94.17%
2006-11-30 6 95 101 94.06%
2006-10-31 6 98 104 94.23%
2006-09-30 7 96 103 93.20%
2006-08-31 7 96 103 93.20%
2006-07-31 7 98 105 93.33%
2006-06-30 7 91 98 92.86%
2006-05-31 7 90 97 92.78%
2006-04-30 7 87 94 92.55%
2006-03-31 7 88 95 92.63%
2006-02-28 7 83 90 92.22%
2006-01-31 7 74 81 91.36%
2005-12-31 7 73 80 91.25%
2005-11-30 7 73 80 91.25%
2005-10-31 7 71 78 91.03%
2005-09-30 7 70 77 90.91%
2005-08-31 7 71 78 91.03%
2005-07-31 8 66 74 89.19%
2005-06-30 8 65 73 89.04%
2005-05-31 8 63 71 88.73%
2005-04-30 8 55 63 87.30%
2005-03-31 8 56 64 87.50%
2005-02-28 8 56 64 87.50%
2005-01-31 7 59 66 89.39%
2004-12-31 7 62 69 89.86%
2004-11-30 8 63 71 88.73%
2004-10-31 8 64 72 88.89%
2004-09-30 8 63 71 88.73%
2004-08-31 8 60 68 88.24%
2004-07-31 8 59 67 88.06%
2004-06-30 8 57 65 87.69%
2004-05-31 8 63 71 88.73%
2004-04-30 7 66 73 90.41%
2004-03-31 7 66 73 90.41%
2004-02-29 7 69 76 90.79%
2004-01-31 8 68 76 89.47%
2003-12-31 8 69 77 89.61%
2003-11-30 8 63 71 88.73%
2003-10-31 8 65 73 89.04%
2003-09-30 9 65 74 87.84%
2003-08-31 9 60 69 86.96%
2003-07-31 9 58 67 86.57%
2003-06-30 7 60 67 89.55%
2003-05-31 7 60 67 89.55%
2003-04-30 7 61 68 89.71%
2003-03-31 7 62 69 89.86%

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