Moody's Investors Service 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 |
|---|---|---|---|---|
| 2024-04-25 | 5 | 105 | 110 | 95.45% |
| 2023-12-31 | 5 | 106 | 111 | 95.50% |
| 2022-12-31 | 5 | 122 | 127 | 96.06% |
| 2021-12-31 | 5 | 126 | 131 | 96.18% |
| 2020-12-31 | 5 | 127 | 132 | 96.21% |
| 2019-12-31 | 5 | 126 | 131 | 96.18% |
| 2018-12-31 | 4 | 126 | 130 | 96.92% |
| 2017-12-31 | 3 | 115 | 118 | 97.46% |
| 2016-12-31 | 4 | 105 | 109 | 96.33% |
| 2015-12-31 | 4 | 107 | 111 | 96.40% |
| 2014-12-31 | 4 | 90 | 94 | 95.74% |
| 2013-12-31 | 3 | 79 | 82 | 96.34% |
| 2012-12-31 | 3 | 71 | 74 | 95.95% |
| 2011-12-31 | 3 | 67 | 70 | 95.71% |
| 2010-12-31 | 0 | 0 | 0 | 0.00% |
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