UBS DERIVATIVES HONG KONG LIMITED
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 |
|---|---|---|---|---|
| 2024-11-10 | 0 | 0 | 0 | 0.00% |
| 2023-12-31 | 0 | 0 | 0 | 0.00% |
| 2022-12-31 | 0 | 0 | 0 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
| 2020-12-31 | 0 | 0 | 0 | 0.00% |
| 2019-12-31 | 0 | 0 | 0 | 0.00% |
| 2018-12-31 | 0 | 0 | 0 | 0.00% |
| 2017-12-31 | 0 | 0 | 0 | 0.00% |
| 2016-12-31 | 0 | 0 | 0 | 0.00% |
| 2015-12-31 | 7 | 79 | 86 | 91.86% |
| 2014-12-31 | 6 | 72 | 78 | 92.31% |
| 2013-12-31 | 6 | 73 | 79 | 92.41% |
| 2012-12-31 | 5 | 57 | 62 | 91.94% |
| 2011-12-31 | 5 | 56 | 61 | 91.80% |
| 2010-12-31 | 4 | 39 | 43 | 90.70% |
| 2009-12-31 | 3 | 27 | 30 | 90.00% |
| 2008-12-31 | 2 | 30 | 32 | 93.75% |
| 2007-12-31 | 3 | 34 | 37 | 91.89% |
| 2006-12-31 | 3 | 29 | 32 | 90.63% |
| 2005-12-31 | 3 | 19 | 22 | 86.36% |
| 2004-12-31 | 4 | 16 | 20 | 80.00% |
| 2003-12-31 | 3 | 9 | 12 | 75.00% |
| 2003-03-31 | 2 | 8 | 10 | 80.00% |
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