Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司

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
2021-05-18 18 99 117 84.62%
2020-12-31 18 101 119 84.87%
2019-12-31 17 105 122 86.07%
2018-12-31 18 100 118 84.75%
2017-12-31 16 98 114 85.96%
2016-12-31 12 95 107 88.79%
2015-12-31 13 118 131 90.08%
2014-12-31 16 137 153 89.54%
2013-12-31 15 153 168 91.07%
2012-12-31 10 177 187 94.65%
2011-12-31 14 271 285 95.09%
2010-12-31 17 240 257 93.39%
2009-12-31 13 116 129 89.92%
2008-12-31 12 95 107 88.79%
2007-12-31 10 80 90 88.89%
2006-12-31 9 50 59 84.75%
2005-12-31 6 42 48 87.50%
2004-12-31 5 37 42 88.10%
2003-12-31 3 39 42 92.86%
2003-03-31 3 35 38 92.11%

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