UBS DERIVATIVES HONG KONG LIMITED

Activity type:

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
2024-09-03 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 6 74 80 92.50%
2016-10-31 6 77 83 92.77%
2016-09-30 6 77 83 92.77%
2016-08-31 6 77 83 92.77%
2016-07-31 6 73 79 92.41%
2016-06-30 6 77 83 92.77%
2016-05-31 7 77 84 91.67%
2016-04-30 7 81 88 92.05%
2016-03-31 7 82 89 92.13%
2016-02-29 8 79 87 90.80%
2016-01-31 8 78 86 90.70%
2015-12-31 7 79 86 91.86%
2015-11-30 7 80 87 91.95%
2015-10-31 6 79 85 92.94%
2015-09-30 6 78 84 92.86%
2015-08-31 6 79 85 92.94%
2015-07-31 6 74 80 92.50%
2015-06-30 6 75 81 92.59%
2015-05-31 6 74 80 92.50%
2015-04-30 6 73 79 92.41%
2015-03-31 6 75 81 92.59%
2015-02-28 6 76 82 92.68%
2015-01-31 6 75 81 92.59%
2014-12-31 6 72 78 92.31%
2014-11-30 6 72 78 92.31%
2014-10-31 6 72 78 92.31%
2014-09-30 6 74 80 92.50%
2014-08-31 6 73 79 92.41%
2014-07-31 6 70 76 92.11%
2014-06-30 6 69 75 92.00%
2014-05-31 6 69 75 92.00%
2014-04-30 6 67 73 91.78%
2014-03-31 7 68 75 90.67%
2014-02-28 7 70 77 90.91%
2014-01-31 7 72 79 91.14%
2013-12-31 6 73 79 92.41%
2013-11-30 6 73 79 92.41%
2013-10-31 7 72 79 91.14%
2013-09-30 7 70 77 90.91%
2013-08-31 7 67 74 90.54%
2013-07-31 6 65 71 91.55%
2013-06-30 6 56 62 90.32%
2013-05-31 6 55 61 90.16%
2013-04-30 6 54 60 90.00%
2013-03-31 5 54 59 91.53%
2013-02-28 5 53 58 91.38%
2013-01-31 5 55 60 91.67%
2012-12-31 5 57 62 91.94%
2012-11-30 5 55 60 91.67%
2012-10-31 6 53 59 89.83%
2012-09-30 6 56 62 90.32%
2012-08-31 6 57 63 90.48%
2012-07-31 6 56 62 90.32%
2012-06-30 6 55 61 90.16%
2012-05-31 6 55 61 90.16%
2012-04-30 5 53 58 91.38%
2012-03-31 5 52 57 91.23%
2012-02-29 5 54 59 91.53%
2012-01-31 5 56 61 91.80%
2011-12-31 5 56 61 91.80%
2011-11-30 5 56 61 91.80%
2011-10-31 5 55 60 91.67%
2011-09-30 5 53 58 91.38%
2011-08-31 5 50 55 90.91%
2011-07-31 5 50 55 90.91%
2011-06-30 6 46 52 88.46%
2011-05-31 5 47 52 90.38%
2011-04-30 5 41 46 89.13%
2011-03-31 5 43 48 89.58%
2011-02-28 5 41 46 89.13%
2011-01-31 5 40 45 88.89%
2010-12-31 4 39 43 90.70%
2010-11-30 4 39 43 90.70%
2010-10-31 3 40 43 93.02%
2010-09-30 2 39 41 95.12%
2010-08-31 3 37 40 92.50%
2010-07-31 3 36 39 92.31%
2010-06-30 3 31 34 91.18%
2010-05-31 2 31 33 93.94%
2010-04-30 2 29 31 93.55%
2010-03-31 2 29 31 93.55%
2010-02-28 2 29 31 93.55%
2010-01-31 2 26 28 92.86%
2009-12-31 3 27 30 90.00%
2009-11-30 3 26 29 89.66%
2009-10-31 3 24 27 88.89%
2009-09-30 3 22 25 88.00%
2009-08-31 4 21 25 84.00%
2009-07-31 4 22 26 84.62%
2009-06-30 4 22 26 84.62%
2009-05-31 3 23 26 88.46%
2009-04-30 2 26 28 92.86%
2009-03-31 4 30 34 88.24%
2009-02-28 2 31 33 93.94%
2009-01-31 2 30 32 93.75%
2008-12-31 2 30 32 93.75%
2008-11-30 2 31 33 93.94%
2008-10-31 3 31 34 91.18%
2008-09-30 3 32 35 91.43%
2008-08-31 3 32 35 91.43%
2008-07-31 3 33 36 91.67%
2008-06-30 3 31 34 91.18%
2008-05-31 3 32 35 91.43%
2008-04-30 3 31 34 91.18%
2008-03-31 3 34 37 91.89%
2008-02-29 3 35 38 92.11%
2008-01-31 3 34 37 91.89%
2007-12-31 3 34 37 91.89%
2007-11-30 3 33 36 91.67%
2007-10-31 3 32 35 91.43%
2007-09-30 3 32 35 91.43%
2007-08-31 3 31 34 91.18%
2007-07-31 3 31 34 91.18%
2007-06-30 3 26 29 89.66%
2007-05-31 3 25 28 89.29%
2007-04-30 2 26 28 92.86%
2007-03-31 3 27 30 90.00%
2007-02-28 3 28 31 90.32%
2007-01-31 3 30 33 90.91%
2006-12-31 3 29 32 90.63%
2006-11-30 3 29 32 90.63%
2006-10-31 3 29 32 90.63%
2006-09-30 3 22 25 88.00%
2006-08-31 3 21 24 87.50%
2006-07-31 3 20 23 86.96%
2006-06-30 3 20 23 86.96%
2006-05-31 3 19 22 86.36%
2006-04-30 3 19 22 86.36%
2006-03-31 3 19 22 86.36%
2006-02-28 3 19 22 86.36%
2006-01-31 3 19 22 86.36%
2005-12-31 3 19 22 86.36%
2005-11-30 3 19 22 86.36%
2005-10-31 4 18 22 81.82%
2005-09-30 4 18 22 81.82%
2005-08-31 4 18 22 81.82%
2005-07-31 4 18 22 81.82%
2005-06-30 3 17 20 85.00%
2005-05-31 4 17 21 80.95%
2005-04-30 4 15 19 78.95%
2005-03-31 4 14 18 77.78%
2005-02-28 4 16 20 80.00%
2005-01-31 4 16 20 80.00%
2004-12-31 4 16 20 80.00%
2004-11-30 4 15 19 78.95%
2004-10-31 4 15 19 78.95%
2004-09-30 4 15 19 78.95%
2004-08-31 4 15 19 78.95%
2004-07-31 4 13 17 76.47%
2004-06-30 3 12 15 80.00%
2004-05-31 3 11 14 78.57%
2004-04-30 3 10 13 76.92%
2004-03-31 3 9 12 75.00%
2004-02-29 3 8 11 72.73%
2004-01-31 3 9 12 75.00%
2003-12-31 3 9 12 75.00%
2003-11-30 3 10 13 76.92%
2003-10-31 3 10 13 76.92%
2003-09-30 3 10 13 76.92%
2003-08-31 2 8 10 80.00%
2003-07-31 2 8 10 80.00%
2003-06-30 2 8 10 80.00%
2003-05-31 2 8 10 80.00%
2003-04-30 2 8 10 80.00%
2003-03-31 2 8 10 80.00%

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