China Orient International Asset Management Limited 中國東方國際資產管理有限公司
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 | 5 | 11 | 16 | 68.75% |
| 2024-04-30 | 5 | 11 | 16 | 68.75% |
| 2024-03-31 | 5 | 10 | 15 | 66.67% |
| 2024-02-29 | 5 | 10 | 15 | 66.67% |
| 2024-01-31 | 5 | 10 | 15 | 66.67% |
| 2023-12-31 | 5 | 10 | 15 | 66.67% |
| 2023-11-30 | 5 | 10 | 15 | 66.67% |
| 2023-10-31 | 5 | 10 | 15 | 66.67% |
| 2023-09-30 | 5 | 10 | 15 | 66.67% |
| 2023-08-31 | 5 | 10 | 15 | 66.67% |
| 2023-07-31 | 5 | 10 | 15 | 66.67% |
| 2023-06-30 | 5 | 11 | 16 | 68.75% |
| 2023-05-31 | 5 | 11 | 16 | 68.75% |
| 2023-04-30 | 5 | 11 | 16 | 68.75% |
| 2023-03-31 | 4 | 12 | 16 | 75.00% |
| 2023-02-28 | 4 | 13 | 17 | 76.47% |
| 2023-01-31 | 4 | 13 | 17 | 76.47% |
| 2022-12-31 | 4 | 13 | 17 | 76.47% |
| 2022-11-30 | 5 | 12 | 17 | 70.59% |
| 2022-10-31 | 4 | 13 | 17 | 76.47% |
| 2022-09-30 | 4 | 13 | 17 | 76.47% |
| 2022-08-31 | 4 | 14 | 18 | 77.78% |
| 2022-07-31 | 4 | 15 | 19 | 78.95% |
| 2022-06-30 | 4 | 15 | 19 | 78.95% |
| 2022-05-31 | 4 | 14 | 18 | 77.78% |
| 2022-04-30 | 5 | 14 | 19 | 73.68% |
| 2022-03-31 | 5 | 12 | 17 | 70.59% |
| 2022-02-28 | 5 | 12 | 17 | 70.59% |
| 2022-01-31 | 5 | 12 | 17 | 70.59% |
| 2021-12-31 | 5 | 14 | 19 | 73.68% |
| 2021-11-30 | 5 | 13 | 18 | 72.22% |
| 2021-10-31 | 5 | 13 | 18 | 72.22% |
| 2021-09-30 | 6 | 11 | 17 | 64.71% |
| 2021-08-31 | 6 | 11 | 17 | 64.71% |
| 2021-07-31 | 5 | 12 | 17 | 70.59% |
| 2021-06-30 | 5 | 14 | 19 | 73.68% |
| 2021-05-31 | 5 | 14 | 19 | 73.68% |
| 2021-04-30 | 4 | 14 | 18 | 77.78% |
| 2021-03-31 | 5 | 14 | 19 | 73.68% |
| 2021-02-28 | 5 | 14 | 19 | 73.68% |
| 2021-01-31 | 5 | 14 | 19 | 73.68% |
| 2020-12-31 | 5 | 14 | 19 | 73.68% |
| 2020-11-30 | 5 | 14 | 19 | 73.68% |
| 2020-10-31 | 5 | 14 | 19 | 73.68% |
| 2020-09-30 | 5 | 16 | 21 | 76.19% |
| 2020-08-31 | 5 | 16 | 21 | 76.19% |
| 2020-07-31 | 5 | 16 | 21 | 76.19% |
| 2020-06-30 | 5 | 16 | 21 | 76.19% |
| 2020-05-31 | 5 | 17 | 22 | 77.27% |
| 2020-04-30 | 5 | 17 | 22 | 77.27% |
| 2020-03-31 | 5 | 17 | 22 | 77.27% |
| 2020-02-29 | 5 | 17 | 22 | 77.27% |
| 2020-01-31 | 5 | 17 | 22 | 77.27% |
| 2019-12-31 | 5 | 17 | 22 | 77.27% |
| 2019-11-30 | 6 | 17 | 23 | 73.91% |
| 2019-10-31 | 5 | 16 | 21 | 76.19% |
| 2019-09-30 | 5 | 16 | 21 | 76.19% |
| 2019-08-31 | 5 | 16 | 21 | 76.19% |
| 2019-07-31 | 6 | 18 | 24 | 75.00% |
| 2019-06-30 | 7 | 17 | 24 | 70.83% |
| 2019-05-31 | 7 | 20 | 27 | 74.07% |
| 2019-04-30 | 7 | 20 | 27 | 74.07% |
| 2019-03-31 | 7 | 17 | 24 | 70.83% |
| 2019-02-28 | 7 | 17 | 24 | 70.83% |
| 2019-01-31 | 7 | 16 | 23 | 69.57% |
| 2018-12-31 | 7 | 16 | 23 | 69.57% |
| 2018-11-30 | 7 | 16 | 23 | 69.57% |
| 2018-10-31 | 7 | 16 | 23 | 69.57% |
| 2018-09-30 | 8 | 17 | 25 | 68.00% |
| 2018-08-31 | 8 | 21 | 29 | 72.41% |
| 2018-07-31 | 7 | 24 | 31 | 77.42% |
| 2018-06-30 | 7 | 24 | 31 | 77.42% |
| 2018-05-31 | 7 | 25 | 32 | 78.13% |
| 2018-04-30 | 7 | 26 | 33 | 78.79% |
| 2018-03-31 | 7 | 26 | 33 | 78.79% |
| 2018-02-28 | 7 | 26 | 33 | 78.79% |
| 2018-01-31 | 7 | 26 | 33 | 78.79% |
| 2017-12-31 | 6 | 26 | 32 | 81.25% |
| 2017-11-30 | 6 | 26 | 32 | 81.25% |
| 2017-10-31 | 6 | 26 | 32 | 81.25% |
| 2017-09-30 | 6 | 26 | 32 | 81.25% |
| 2017-08-31 | 6 | 23 | 29 | 79.31% |
| 2017-07-31 | 5 | 23 | 28 | 82.14% |
| 2017-06-30 | 6 | 23 | 29 | 79.31% |
| 2017-05-31 | 6 | 24 | 30 | 80.00% |
| 2017-04-30 | 6 | 23 | 29 | 79.31% |
| 2017-03-31 | 6 | 23 | 29 | 79.31% |
| 2017-02-28 | 6 | 20 | 26 | 76.92% |
| 2017-01-31 | 6 | 20 | 26 | 76.92% |
| 2016-12-31 | 6 | 18 | 24 | 75.00% |
| 2016-11-30 | 5 | 19 | 24 | 79.17% |
| 2016-10-31 | 5 | 19 | 24 | 79.17% |
| 2016-09-30 | 5 | 19 | 24 | 79.17% |
| 2016-08-31 | 5 | 18 | 23 | 78.26% |
| 2016-07-31 | 5 | 19 | 24 | 79.17% |
| 2016-06-30 | 5 | 19 | 24 | 79.17% |
| 2016-05-31 | 5 | 19 | 24 | 79.17% |
| 2016-04-30 | 5 | 19 | 24 | 79.17% |
| 2016-03-31 | 5 | 19 | 24 | 79.17% |
| 2016-02-29 | 5 | 17 | 22 | 77.27% |
| 2016-01-31 | 5 | 17 | 22 | 77.27% |
| 2015-12-31 | 6 | 15 | 21 | 71.43% |
| 2015-11-30 | 6 | 16 | 22 | 72.73% |
| 2015-10-31 | 5 | 17 | 22 | 77.27% |
| 2015-09-30 | 5 | 17 | 22 | 77.27% |
| 2015-08-31 | 5 | 13 | 18 | 72.22% |
| 2015-07-31 | 4 | 14 | 18 | 77.78% |
| 2015-06-30 | 3 | 14 | 17 | 82.35% |
| 2015-05-31 | 3 | 13 | 16 | 81.25% |
| 2015-04-30 | 3 | 12 | 15 | 80.00% |
| 2015-03-31 | 3 | 10 | 13 | 76.92% |
| 2015-02-28 | 3 | 11 | 14 | 78.57% |
| 2015-01-31 | 3 | 11 | 14 | 78.57% |
| 2014-12-31 | 3 | 9 | 12 | 75.00% |
| 2014-11-30 | 3 | 9 | 12 | 75.00% |
| 2014-10-31 | 3 | 9 | 12 | 75.00% |
| 2014-09-30 | 3 | 9 | 12 | 75.00% |
| 2014-08-31 | 3 | 8 | 11 | 72.73% |
| 2014-07-31 | 3 | 8 | 11 | 72.73% |
| 2014-06-30 | 2 | 8 | 10 | 80.00% |
| 2014-05-31 | 2 | 8 | 10 | 80.00% |
| 2014-04-30 | 2 | 8 | 10 | 80.00% |
| 2014-03-31 | 2 | 8 | 10 | 80.00% |
| 2014-02-28 | 2 | 8 | 10 | 80.00% |
| 2014-01-31 | 2 | 8 | 10 | 80.00% |
| 2013-12-31 | 2 | 7 | 9 | 77.78% |
| 2013-11-30 | 2 | 6 | 8 | 75.00% |
| 2013-10-31 | 2 | 5 | 7 | 71.43% |
| 2013-09-30 | 2 | 4 | 6 | 66.67% |
| 2013-08-31 | 2 | 5 | 7 | 71.43% |
| 2013-07-31 | 2 | 5 | 7 | 71.43% |
| 2013-06-30 | 2 | 5 | 7 | 71.43% |
| 2013-05-31 | 2 | 5 | 7 | 71.43% |
| 2013-04-30 | 2 | 5 | 7 | 71.43% |
| 2013-03-31 | 2 | 5 | 7 | 71.43% |
| 2013-02-28 | 2 | 4 | 6 | 66.67% |
| 2013-01-31 | 2 | 4 | 6 | 66.67% |
| 2012-12-31 | 2 | 4 | 6 | 66.67% |
| 2012-11-30 | 2 | 4 | 6 | 66.67% |
| 2012-10-31 | 2 | 4 | 6 | 66.67% |
| 2012-09-30 | 2 | 1 | 3 | 33.33% |
| 2012-08-31 | 2 | 0 | 2 | 0.00% |
| 2012-07-31 | 2 | 0 | 2 | 0.00% |
| 2012-06-30 | 2 | 0 | 2 | 0.00% |
| 2012-05-31 | 2 | 0 | 2 | 0.00% |
| 2012-04-30 | 0 | 0 | 0 | 0.00% |
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