CLSA RESEARCH LIMITED 里昂證券投資研究有限公司
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 |
|---|---|---|---|---|
| 2024-11-09 | 0 | 0 | 0 | 0.00% |
| 2024-10-31 | 0 | 0 | 0 | 0.00% |
| 2024-09-30 | 0 | 0 | 0 | 0.00% |
| 2024-08-31 | 0 | 0 | 0 | 0.00% |
| 2024-07-31 | 0 | 0 | 0 | 0.00% |
| 2024-06-30 | 0 | 0 | 0 | 0.00% |
| 2024-05-31 | 0 | 0 | 0 | 0.00% |
| 2024-04-30 | 0 | 0 | 0 | 0.00% |
| 2024-03-31 | 0 | 0 | 0 | 0.00% |
| 2024-02-29 | 0 | 0 | 0 | 0.00% |
| 2024-01-31 | 0 | 0 | 0 | 0.00% |
| 2023-12-31 | 0 | 0 | 0 | 0.00% |
| 2023-11-30 | 0 | 0 | 0 | 0.00% |
| 2023-10-31 | 0 | 0 | 0 | 0.00% |
| 2023-09-30 | 0 | 0 | 0 | 0.00% |
| 2023-08-31 | 0 | 0 | 0 | 0.00% |
| 2023-07-31 | 0 | 0 | 0 | 0.00% |
| 2023-06-30 | 0 | 0 | 0 | 0.00% |
| 2023-05-31 | 0 | 0 | 0 | 0.00% |
| 2023-04-30 | 0 | 0 | 0 | 0.00% |
| 2023-03-31 | 0 | 0 | 0 | 0.00% |
| 2023-02-28 | 0 | 0 | 0 | 0.00% |
| 2023-01-31 | 0 | 0 | 0 | 0.00% |
| 2022-12-31 | 0 | 0 | 0 | 0.00% |
| 2022-11-30 | 0 | 0 | 0 | 0.00% |
| 2022-10-31 | 0 | 0 | 0 | 0.00% |
| 2022-09-30 | 0 | 0 | 0 | 0.00% |
| 2022-08-31 | 0 | 0 | 0 | 0.00% |
| 2022-07-31 | 0 | 0 | 0 | 0.00% |
| 2022-06-30 | 0 | 0 | 0 | 0.00% |
| 2022-05-31 | 0 | 0 | 0 | 0.00% |
| 2022-04-30 | 0 | 0 | 0 | 0.00% |
| 2022-03-31 | 0 | 0 | 0 | 0.00% |
| 2022-02-28 | 0 | 0 | 0 | 0.00% |
| 2022-01-31 | 0 | 0 | 0 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
| 2021-11-30 | 0 | 0 | 0 | 0.00% |
| 2021-10-31 | 0 | 0 | 0 | 0.00% |
| 2021-09-30 | 0 | 0 | 0 | 0.00% |
| 2021-08-31 | 0 | 0 | 0 | 0.00% |
| 2021-07-31 | 0 | 0 | 0 | 0.00% |
| 2021-06-30 | 0 | 0 | 0 | 0.00% |
| 2021-05-31 | 0 | 0 | 0 | 0.00% |
| 2021-04-30 | 0 | 0 | 0 | 0.00% |
| 2021-03-31 | 0 | 0 | 0 | 0.00% |
| 2021-02-28 | 0 | 0 | 0 | 0.00% |
| 2021-01-31 | 0 | 0 | 0 | 0.00% |
| 2020-12-31 | 0 | 0 | 0 | 0.00% |
| 2020-11-30 | 0 | 0 | 0 | 0.00% |
| 2020-10-31 | 0 | 0 | 0 | 0.00% |
| 2020-09-30 | 0 | 0 | 0 | 0.00% |
| 2020-08-31 | 0 | 0 | 0 | 0.00% |
| 2020-07-31 | 0 | 0 | 0 | 0.00% |
| 2020-06-30 | 0 | 0 | 0 | 0.00% |
| 2020-05-31 | 0 | 0 | 0 | 0.00% |
| 2020-04-30 | 0 | 0 | 0 | 0.00% |
| 2020-03-31 | 0 | 0 | 0 | 0.00% |
| 2020-02-29 | 0 | 0 | 0 | 0.00% |
| 2020-01-31 | 0 | 0 | 0 | 0.00% |
| 2019-12-31 | 0 | 0 | 0 | 0.00% |
| 2019-11-30 | 0 | 0 | 0 | 0.00% |
| 2019-10-31 | 0 | 0 | 0 | 0.00% |
| 2019-09-30 | 0 | 0 | 0 | 0.00% |
| 2019-08-31 | 0 | 0 | 0 | 0.00% |
| 2019-07-31 | 0 | 0 | 0 | 0.00% |
| 2019-06-30 | 0 | 0 | 0 | 0.00% |
| 2019-05-31 | 0 | 0 | 0 | 0.00% |
| 2019-04-30 | 0 | 0 | 0 | 0.00% |
| 2019-03-31 | 0 | 0 | 0 | 0.00% |
| 2019-02-28 | 0 | 0 | 0 | 0.00% |
| 2019-01-31 | 0 | 0 | 0 | 0.00% |
| 2018-12-31 | 0 | 0 | 0 | 0.00% |
| 2018-11-30 | 0 | 0 | 0 | 0.00% |
| 2018-10-31 | 0 | 0 | 0 | 0.00% |
| 2018-09-30 | 0 | 0 | 0 | 0.00% |
| 2018-08-31 | 0 | 0 | 0 | 0.00% |
| 2018-07-31 | 0 | 0 | 0 | 0.00% |
| 2018-06-30 | 0 | 0 | 0 | 0.00% |
| 2018-05-31 | 0 | 0 | 0 | 0.00% |
| 2018-04-30 | 0 | 0 | 0 | 0.00% |
| 2018-03-31 | 0 | 0 | 0 | 0.00% |
| 2018-02-28 | 0 | 0 | 0 | 0.00% |
| 2018-01-31 | 0 | 0 | 0 | 0.00% |
| 2017-12-31 | 0 | 0 | 0 | 0.00% |
| 2017-11-30 | 0 | 0 | 0 | 0.00% |
| 2017-10-31 | 0 | 0 | 0 | 0.00% |
| 2017-09-30 | 0 | 0 | 0 | 0.00% |
| 2017-08-31 | 0 | 0 | 0 | 0.00% |
| 2017-07-31 | 0 | 0 | 0 | 0.00% |
| 2017-06-30 | 0 | 0 | 0 | 0.00% |
| 2017-05-31 | 0 | 0 | 0 | 0.00% |
| 2017-04-30 | 0 | 0 | 0 | 0.00% |
| 2017-03-31 | 0 | 0 | 0 | 0.00% |
| 2017-02-28 | 0 | 0 | 0 | 0.00% |
| 2017-01-31 | 0 | 0 | 0 | 0.00% |
| 2016-12-31 | 0 | 0 | 0 | 0.00% |
| 2016-11-30 | 0 | 0 | 0 | 0.00% |
| 2016-10-31 | 0 | 0 | 0 | 0.00% |
| 2016-09-30 | 0 | 0 | 0 | 0.00% |
| 2016-08-31 | 0 | 0 | 0 | 0.00% |
| 2016-07-31 | 0 | 0 | 0 | 0.00% |
| 2016-06-30 | 0 | 0 | 0 | 0.00% |
| 2016-05-31 | 0 | 0 | 0 | 0.00% |
| 2016-04-30 | 0 | 0 | 0 | 0.00% |
| 2016-03-31 | 0 | 0 | 0 | 0.00% |
| 2016-02-29 | 0 | 0 | 0 | 0.00% |
| 2016-01-31 | 0 | 0 | 0 | 0.00% |
| 2015-12-31 | 0 | 0 | 0 | 0.00% |
| 2015-11-30 | 0 | 0 | 0 | 0.00% |
| 2015-10-31 | 0 | 0 | 0 | 0.00% |
| 2015-09-30 | 0 | 0 | 0 | 0.00% |
| 2015-08-31 | 0 | 0 | 0 | 0.00% |
| 2015-07-31 | 0 | 0 | 0 | 0.00% |
| 2015-06-30 | 0 | 0 | 0 | 0.00% |
| 2015-05-31 | 0 | 0 | 0 | 0.00% |
| 2015-04-30 | 0 | 0 | 0 | 0.00% |
| 2015-03-31 | 0 | 0 | 0 | 0.00% |
| 2015-02-28 | 0 | 0 | 0 | 0.00% |
| 2015-01-31 | 0 | 0 | 0 | 0.00% |
| 2014-12-31 | 0 | 0 | 0 | 0.00% |
| 2014-11-30 | 0 | 0 | 0 | 0.00% |
| 2014-10-31 | 0 | 0 | 0 | 0.00% |
| 2014-09-30 | 0 | 0 | 0 | 0.00% |
| 2014-08-31 | 0 | 0 | 0 | 0.00% |
| 2014-07-31 | 0 | 0 | 0 | 0.00% |
| 2014-06-30 | 0 | 0 | 0 | 0.00% |
| 2014-05-31 | 2 | 0 | 2 | 0.00% |
| 2014-04-30 | 2 | 0 | 2 | 0.00% |
| 2014-03-31 | 2 | 0 | 2 | 0.00% |
| 2014-02-28 | 2 | 0 | 2 | 0.00% |
| 2014-01-31 | 2 | 0 | 2 | 0.00% |
| 2013-12-31 | 2 | 0 | 2 | 0.00% |
| 2013-11-30 | 2 | 0 | 2 | 0.00% |
| 2013-10-31 | 2 | 0 | 2 | 0.00% |
| 2013-09-30 | 2 | 0 | 2 | 0.00% |
| 2013-08-31 | 2 | 0 | 2 | 0.00% |
| 2013-07-31 | 2 | 0 | 2 | 0.00% |
| 2013-06-30 | 2 | 0 | 2 | 0.00% |
| 2013-05-31 | 2 | 0 | 2 | 0.00% |
| 2013-04-30 | 2 | 0 | 2 | 0.00% |
| 2013-03-31 | 2 | 0 | 2 | 0.00% |
| 2013-02-28 | 2 | 0 | 2 | 0.00% |
| 2013-01-31 | 3 | 0 | 3 | 0.00% |
| 2012-12-31 | 3 | 1 | 4 | 25.00% |
| 2012-11-30 | 3 | 93 | 96 | 96.88% |
| 2012-10-31 | 3 | 108 | 111 | 97.30% |
| 2012-09-30 | 3 | 109 | 112 | 97.32% |
| 2012-08-31 | 3 | 109 | 112 | 97.32% |
| 2012-07-31 | 3 | 111 | 114 | 97.37% |
| 2012-06-30 | 3 | 112 | 115 | 97.39% |
| 2012-05-31 | 3 | 120 | 123 | 97.56% |
| 2012-04-30 | 3 | 123 | 126 | 97.62% |
| 2012-03-31 | 3 | 126 | 129 | 97.67% |
| 2012-02-29 | 3 | 127 | 130 | 97.69% |
| 2012-01-31 | 3 | 129 | 132 | 97.73% |
| 2011-12-31 | 3 | 137 | 140 | 97.86% |
| 2011-11-30 | 3 | 139 | 142 | 97.89% |
| 2011-10-31 | 3 | 140 | 143 | 97.90% |
| 2011-09-30 | 3 | 137 | 140 | 97.86% |
| 2011-08-31 | 3 | 131 | 134 | 97.76% |
| 2011-07-31 | 3 | 123 | 126 | 97.62% |
| 2011-06-30 | 3 | 120 | 123 | 97.56% |
| 2011-05-31 | 3 | 119 | 122 | 97.54% |
| 2011-04-30 | 3 | 122 | 125 | 97.60% |
| 2011-03-31 | 3 | 133 | 136 | 97.79% |
| 2011-02-28 | 3 | 135 | 138 | 97.83% |
| 2011-01-31 | 3 | 132 | 135 | 97.78% |
| 2010-12-31 | 3 | 132 | 135 | 97.78% |
| 2010-11-30 | 3 | 129 | 132 | 97.73% |
| 2010-10-31 | 3 | 129 | 132 | 97.73% |
| 2010-09-30 | 3 | 128 | 131 | 97.71% |
| 2010-08-31 | 3 | 120 | 123 | 97.56% |
| 2010-07-31 | 3 | 121 | 124 | 97.58% |
| 2010-06-30 | 3 | 125 | 128 | 97.66% |
| 2010-05-31 | 3 | 129 | 132 | 97.73% |
| 2010-04-30 | 3 | 127 | 130 | 97.69% |
| 2010-03-31 | 3 | 127 | 130 | 97.69% |
| 2010-02-28 | 3 | 123 | 126 | 97.62% |
| 2010-01-31 | 3 | 122 | 125 | 97.60% |
| 2009-12-31 | 3 | 120 | 123 | 97.56% |
| 2009-11-30 | 2 | 116 | 118 | 98.31% |
| 2009-10-31 | 2 | 118 | 120 | 98.33% |
| 2009-09-30 | 2 | 118 | 120 | 98.33% |
| 2009-08-31 | 2 | 115 | 117 | 98.29% |
| 2009-07-31 | 2 | 115 | 117 | 98.29% |
| 2009-06-30 | 2 | 114 | 116 | 98.28% |
| 2009-05-31 | 3 | 113 | 116 | 97.41% |
| 2009-04-30 | 2 | 115 | 117 | 98.29% |
| 2009-03-31 | 2 | 116 | 118 | 98.31% |
| 2009-02-28 | 2 | 123 | 125 | 98.40% |
| 2009-01-31 | 2 | 117 | 119 | 98.32% |
| 2008-12-31 | 2 | 116 | 118 | 98.31% |
| 2008-11-30 | 2 | 118 | 120 | 98.33% |
| 2008-10-31 | 2 | 121 | 123 | 98.37% |
| 2008-09-30 | 2 | 121 | 123 | 98.37% |
| 2008-08-31 | 2 | 106 | 108 | 98.15% |
| 2008-07-31 | 2 | 108 | 110 | 98.18% |
| 2008-06-30 | 3 | 110 | 113 | 97.35% |
| 2008-05-31 | 3 | 108 | 111 | 97.30% |
| 2008-04-30 | 3 | 111 | 114 | 97.37% |
| 2008-03-31 | 3 | 111 | 114 | 97.37% |
| 2008-02-29 | 3 | 108 | 111 | 97.30% |
| 2008-01-31 | 3 | 106 | 109 | 97.25% |
| 2007-12-31 | 2 | 104 | 106 | 98.11% |
| 2007-11-30 | 2 | 98 | 100 | 98.00% |
| 2007-10-31 | 2 | 98 | 100 | 98.00% |
| 2007-09-30 | 2 | 98 | 100 | 98.00% |
| 2007-08-31 | 2 | 99 | 101 | 98.02% |
| 2007-07-31 | 3 | 90 | 93 | 96.77% |
| 2007-06-30 | 3 | 74 | 77 | 96.10% |
| 2007-05-31 | 3 | 60 | 63 | 95.24% |
| 2007-04-30 | 3 | 43 | 46 | 93.48% |
| 2007-03-31 | 3 | 36 | 39 | 92.31% |
| 2007-02-28 | 2 | 38 | 40 | 95.00% |
| 2007-01-31 | 2 | 40 | 42 | 95.24% |
| 2006-12-31 | 2 | 38 | 40 | 95.00% |
| 2006-11-30 | 2 | 38 | 40 | 95.00% |
| 2006-10-31 | 1 | 38 | 39 | 97.44% |
| 2006-09-30 | 2 | 39 | 41 | 95.12% |
| 2006-08-31 | 2 | 40 | 42 | 95.24% |
| 2006-07-31 | 2 | 40 | 42 | 95.24% |
| 2006-06-30 | 2 | 41 | 43 | 95.35% |
| 2006-05-31 | 2 | 42 | 44 | 95.45% |
| 2006-04-30 | 2 | 43 | 45 | 95.56% |
| 2006-03-31 | 2 | 43 | 45 | 95.56% |
| 2006-02-28 | 2 | 43 | 45 | 95.56% |
| 2006-01-31 | 2 | 42 | 44 | 95.45% |
| 2005-12-31 | 2 | 41 | 43 | 95.35% |
| 2005-11-30 | 2 | 42 | 44 | 95.45% |
| 2005-10-31 | 2 | 42 | 44 | 95.45% |
| 2005-09-30 | 2 | 40 | 42 | 95.24% |
| 2005-08-31 | 2 | 42 | 44 | 95.45% |
| 2005-07-31 | 2 | 41 | 43 | 95.35% |
| 2005-06-30 | 2 | 41 | 43 | 95.35% |
| 2005-05-31 | 2 | 40 | 42 | 95.24% |
| 2005-04-30 | 2 | 40 | 42 | 95.24% |
| 2005-03-31 | 2 | 40 | 42 | 95.24% |
| 2005-02-28 | 2 | 36 | 38 | 94.74% |
| 2005-01-31 | 2 | 36 | 38 | 94.74% |
| 2004-12-31 | 2 | 39 | 41 | 95.12% |
| 2004-11-30 | 2 | 39 | 41 | 95.12% |
| 2004-10-31 | 2 | 39 | 41 | 95.12% |
| 2004-09-30 | 2 | 39 | 41 | 95.12% |
| 2004-08-31 | 2 | 35 | 37 | 94.59% |
| 2004-07-31 | 2 | 36 | 38 | 94.74% |
| 2004-06-30 | 2 | 34 | 36 | 94.44% |
| 2004-05-31 | 2 | 36 | 38 | 94.74% |
| 2004-04-30 | 2 | 38 | 40 | 95.00% |
| 2004-03-31 | 2 | 38 | 40 | 95.00% |
| 2004-02-29 | 2 | 35 | 37 | 94.59% |
| 2004-01-31 | 2 | 35 | 37 | 94.59% |
| 2003-12-31 | 2 | 34 | 36 | 94.44% |
| 2003-11-30 | 2 | 33 | 35 | 94.29% |
| 2003-10-31 | 2 | 33 | 35 | 94.29% |
| 2003-09-30 | 2 | 33 | 35 | 94.29% |
| 2003-08-31 | 2 | 34 | 36 | 94.44% |
| 2003-07-31 | 2 | 32 | 34 | 94.12% |
| 2003-06-30 | 2 | 28 | 30 | 93.33% |
| 2003-05-31 | 2 | 29 | 31 | 93.55% |
| 2003-04-30 | 2 | 28 | 30 | 93.33% |
| 2003-03-31 | 2 | 28 | 30 | 93.33% |
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