GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED 國泰君安證券(香港)有限公司

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
2024-05-01 30 307 337 91.10%
2024-04-30 30 307 337 91.10%
2024-03-31 28 312 340 91.76%
2024-02-29 28 314 342 91.81%
2024-01-31 27 315 342 92.11%
2023-12-31 29 310 339 91.45%
2023-11-30 28 316 344 91.86%
2023-10-31 28 312 340 91.76%
2023-09-30 28 310 338 91.72%
2023-08-31 28 311 339 91.74%
2023-07-31 28 310 338 91.72%
2023-06-30 29 305 334 91.32%
2023-05-31 27 303 330 91.82%
2023-04-30 28 300 328 91.46%
2023-03-31 28 299 327 91.44%
2023-02-28 29 293 322 90.99%
2023-01-31 30 301 331 90.94%
2022-12-31 30 298 328 90.85%
2022-11-30 32 303 335 90.45%
2022-10-31 31 312 343 90.96%
2022-09-30 33 317 350 90.57%
2022-08-31 33 321 354 90.68%
2022-07-31 32 319 351 90.88%
2022-06-30 30 320 350 91.43%
2022-05-31 25 328 353 92.92%
2022-04-30 25 328 353 92.92%
2022-03-31 25 325 350 92.86%
2022-02-28 26 321 347 92.51%
2022-01-31 26 323 349 92.55%
2021-12-31 27 330 357 92.44%
2021-11-30 27 332 359 92.48%
2021-10-31 27 326 353 92.35%
2021-09-30 27 329 356 92.42%
2021-08-31 26 326 352 92.61%
2021-07-31 26 325 351 92.59%
2021-06-30 27 321 348 92.24%
2021-05-31 27 315 342 92.11%
2021-04-30 28 319 347 91.93%
2021-03-31 28 310 338 91.72%
2021-02-28 28 308 336 91.67%
2021-01-31 29 306 335 91.34%
2020-12-31 29 307 336 91.37%
2020-11-30 29 310 339 91.45%
2020-10-31 28 305 333 91.59%
2020-09-30 27 298 325 91.69%
2020-08-31 27 298 325 91.69%
2020-07-31 27 296 323 91.64%
2020-06-30 26 301 327 92.05%
2020-05-31 26 309 335 92.24%
2020-04-30 26 309 335 92.24%
2020-03-31 25 309 334 92.51%
2020-02-29 25 305 330 92.42%
2020-01-31 24 297 321 92.52%
2019-12-31 24 298 322 92.55%
2019-11-30 24 294 318 92.45%
2019-10-31 24 288 312 92.31%
2019-09-30 23 294 317 92.74%
2019-08-31 21 292 313 93.29%
2019-07-31 21 290 311 93.25%
2019-06-30 22 283 305 92.79%
2019-05-31 21 282 303 93.07%
2019-04-30 21 282 303 93.07%
2019-03-31 21 277 298 92.95%
2019-02-28 21 271 292 92.81%
2019-01-31 20 265 285 92.98%
2018-12-31 15 263 278 94.60%
2018-11-30 14 257 271 94.83%
2018-10-31 14 248 262 94.66%
2018-09-30 14 232 246 94.31%
2018-08-31 12 222 234 94.87%
2018-07-31 12 219 231 94.81%
2018-06-30 13 220 233 94.42%
2018-05-31 12 223 235 94.89%
2018-04-30 12 222 234 94.87%
2018-03-31 12 215 227 94.71%
2018-02-28 12 212 224 94.64%
2018-01-31 12 208 220 94.55%
2017-12-31 12 205 217 94.47%
2017-11-30 12 201 213 94.37%
2017-10-31 11 205 216 94.91%
2017-09-30 11 206 217 94.93%
2017-08-31 11 202 213 94.84%
2017-07-31 11 200 211 94.79%
2017-06-30 12 200 212 94.34%
2017-05-31 12 201 213 94.37%
2017-04-30 12 204 216 94.44%
2017-03-31 12 203 215 94.42%
2017-02-28 12 201 213 94.37%
2017-01-31 12 203 215 94.42%
2016-12-31 12 198 210 94.29%
2016-11-30 12 196 208 94.23%
2016-10-31 11 193 204 94.61%
2016-09-30 11 188 199 94.47%
2016-08-31 11 187 198 94.44%
2016-07-31 8 188 196 95.92%
2016-06-30 8 187 195 95.90%
2016-05-31 8 188 196 95.92%
2016-04-30 8 189 197 95.94%
2016-03-31 8 189 197 95.94%
2016-02-29 8 183 191 95.81%
2016-01-31 8 186 194 95.88%
2015-12-31 8 183 191 95.81%
2015-11-30 8 182 190 95.79%
2015-10-31 8 180 188 95.74%
2015-09-30 8 180 188 95.74%
2015-08-31 8 174 182 95.60%
2015-07-31 8 169 177 95.48%
2015-06-30 9 166 175 94.86%
2015-05-31 9 163 172 94.77%
2015-04-30 9 165 174 94.83%
2015-03-31 9 162 171 94.74%
2015-02-28 9 160 169 94.67%
2015-01-31 9 160 169 94.67%
2014-12-31 9 159 168 94.64%
2014-11-30 9 158 167 94.61%
2014-10-31 9 157 166 94.58%
2014-09-30 9 155 164 94.51%
2014-08-31 9 151 160 94.38%
2014-07-31 8 149 157 94.90%
2014-06-30 9 153 162 94.44%
2014-05-31 9 150 159 94.34%
2014-04-30 9 150 159 94.34%
2014-03-31 9 149 158 94.30%
2014-02-28 9 149 158 94.30%
2014-01-31 8 150 158 94.94%
2013-12-31 8 149 157 94.90%
2013-11-30 8 144 152 94.74%
2013-10-31 7 143 150 95.33%
2013-09-30 7 140 147 95.24%
2013-08-31 7 141 148 95.27%
2013-07-31 6 137 143 95.80%
2013-06-30 6 134 140 95.71%
2013-05-31 6 135 141 95.74%
2013-04-30 6 137 143 95.80%
2013-03-31 7 137 144 95.14%
2013-02-28 7 131 138 94.93%
2013-01-31 7 131 138 94.93%
2012-12-31 7 127 134 94.78%
2012-11-30 7 131 138 94.93%
2012-10-31 7 128 135 94.81%
2012-09-30 6 127 133 95.49%
2012-08-31 6 125 131 95.42%
2012-07-31 6 121 127 95.28%
2012-06-30 6 116 122 95.08%
2012-05-31 6 112 118 94.92%
2012-04-30 5 113 118 95.76%
2012-03-31 4 112 116 96.55%
2012-02-29 4 110 114 96.49%
2012-01-31 4 110 114 96.49%
2011-12-31 4 109 113 96.46%
2011-11-30 4 108 112 96.43%
2011-10-31 4 108 112 96.43%
2011-09-30 4 107 111 96.40%
2011-08-31 4 106 110 96.36%
2011-07-31 4 111 115 96.52%
2011-06-30 4 109 113 96.46%
2011-05-31 4 109 113 96.46%
2011-04-30 4 108 112 96.43%
2011-03-31 5 107 112 95.54%
2011-02-28 5 105 110 95.45%
2011-01-31 5 105 110 95.45%
2010-12-31 5 107 112 95.54%
2010-11-30 5 108 113 95.58%
2010-10-31 5 107 112 95.54%
2010-09-30 5 108 113 95.58%
2010-08-31 5 103 108 95.37%
2010-07-31 5 102 107 95.33%
2010-06-30 5 102 107 95.33%
2010-05-31 5 100 105 95.24%
2010-04-30 5 99 104 95.19%
2010-03-31 5 99 104 95.19%
2010-02-28 5 95 100 95.00%
2010-01-31 5 95 100 95.00%
2009-12-31 5 93 98 94.90%
2009-11-30 5 92 97 94.85%
2009-10-31 5 88 93 94.62%
2009-09-30 5 87 92 94.57%
2009-08-31 5 86 91 94.51%
2009-07-31 5 86 91 94.51%
2009-06-30 5 86 91 94.51%
2009-05-31 6 87 93 93.55%
2009-04-30 6 86 92 93.48%
2009-03-31 6 86 92 93.48%
2009-02-28 6 85 91 93.41%
2009-01-31 6 85 91 93.41%
2008-12-31 6 85 91 93.41%
2008-11-30 6 82 88 93.18%
2008-10-31 6 79 85 92.94%
2008-09-30 6 82 88 93.18%
2008-08-31 6 82 88 93.18%
2008-07-31 6 83 89 93.26%
2008-06-30 6 79 85 92.94%
2008-05-31 5 77 82 93.90%
2008-04-30 5 77 82 93.90%
2008-03-31 5 78 83 93.98%
2008-02-29 5 77 82 93.90%
2008-01-31 5 76 81 93.83%
2007-12-31 5 72 77 93.51%
2007-11-30 5 73 78 93.59%
2007-10-31 4 74 78 94.87%
2007-09-30 4 72 76 94.74%
2007-08-31 4 69 73 94.52%
2007-07-31 4 69 73 94.52%
2007-06-30 4 67 71 94.37%
2007-05-31 4 64 68 94.12%
2007-04-30 4 64 68 94.12%
2007-03-31 4 66 70 94.29%
2007-02-28 5 66 71 92.96%
2007-01-31 5 67 72 93.06%
2006-12-31 5 65 70 92.86%
2006-11-30 5 65 70 92.86%
2006-10-31 5 64 69 92.75%
2006-09-30 5 65 70 92.86%
2006-08-31 5 65 70 92.86%
2006-07-31 5 65 70 92.86%
2006-06-30 5 63 68 92.65%
2006-05-31 5 63 68 92.65%
2006-04-30 5 63 68 92.65%
2006-03-31 5 62 67 92.54%
2006-02-28 5 62 67 92.54%
2006-01-31 5 60 65 92.31%
2005-12-31 5 62 67 92.54%
2005-11-30 5 62 67 92.54%
2005-10-31 5 61 66 92.42%
2005-09-30 5 61 66 92.42%
2005-08-31 5 61 66 92.42%
2005-07-31 5 62 67 92.54%
2005-06-30 5 60 65 92.31%
2005-05-31 5 61 66 92.42%
2005-04-30 5 60 65 92.31%
2005-03-31 5 58 63 92.06%
2005-02-28 5 58 63 92.06%
2005-01-31 5 57 62 91.94%
2004-12-31 5 57 62 91.94%
2004-11-30 5 55 60 91.67%
2004-10-31 5 55 60 91.67%
2004-09-30 5 55 60 91.67%
2004-08-31 4 52 56 92.86%
2004-07-31 4 50 54 92.59%
2004-06-30 4 51 55 92.73%
2004-05-31 4 52 56 92.86%
2004-04-30 4 55 59 93.22%
2004-03-31 4 55 59 93.22%
2004-02-29 6 54 60 90.00%
2004-01-31 6 53 59 89.83%
2003-12-31 6 54 60 90.00%
2003-11-30 6 56 62 90.32%
2003-10-31 6 48 54 88.89%
2003-09-30 6 48 54 88.89%
2003-08-31 6 44 50 88.00%
2003-07-31 6 43 49 87.76%
2003-06-30 6 43 49 87.76%
2003-05-31 6 43 49 87.76%
2003-04-30 5 44 49 89.80%
2003-03-31 5 45 50 90.00%

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