UBS SECURITIES 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 |
|---|---|---|---|---|
| 2024-04-17 | 29 | 350 | 379 | 92.35% |
| 2023-12-31 | 28 | 345 | 373 | 92.49% |
| 2022-12-31 | 28 | 314 | 342 | 91.81% |
| 2021-12-31 | 29 | 308 | 337 | 91.39% |
| 2020-12-31 | 25 | 294 | 319 | 92.16% |
| 2019-12-31 | 22 | 242 | 264 | 91.67% |
| 2018-12-31 | 24 | 272 | 296 | 91.89% |
| 2017-12-31 | 23 | 270 | 293 | 92.15% |
| 2016-12-31 | 22 | 289 | 311 | 92.93% |
| 2015-12-31 | 19 | 327 | 346 | 94.51% |
| 2014-12-31 | 21 | 330 | 351 | 94.02% |
| 2013-12-31 | 15 | 347 | 362 | 95.86% |
| 2012-12-31 | 18 | 346 | 364 | 95.05% |
| 2011-12-31 | 9 | 106 | 115 | 92.17% |
| 2010-12-31 | 8 | 80 | 88 | 90.91% |
| 2009-12-31 | 6 | 61 | 67 | 91.04% |
| 2008-12-31 | 4 | 52 | 56 | 92.86% |
| 2007-12-31 | 6 | 53 | 59 | 89.83% |
| 2006-12-31 | 6 | 43 | 49 | 87.76% |
| 2005-12-31 | 4 | 24 | 28 | 85.71% |
| 2004-12-31 | 6 | 21 | 27 | 77.78% |
| 2003-12-31 | 5 | 17 | 22 | 77.27% |
| 2003-03-31 | 5 | 19 | 24 | 79.17% |
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