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
2021-04-18 18 101 119 84.87%
2021-03-31 18 103 121 85.12%
2021-02-28 18 101 119 84.87%
2021-01-31 18 101 119 84.87%
2020-12-31 18 101 119 84.87%
2020-11-30 18 102 120 85.00%
2020-10-31 18 101 119 84.87%
2020-09-30 18 102 120 85.00%
2020-08-31 19 103 122 84.43%
2020-07-31 19 102 121 84.30%
2020-06-30 17 101 118 85.59%
2020-05-31 17 101 118 85.59%
2020-04-30 17 101 118 85.59%
2020-03-31 17 101 118 85.59%
2020-02-29 17 104 121 85.95%
2020-01-31 17 106 123 86.18%
2019-12-31 17 105 122 86.07%
2019-11-30 17 103 120 85.83%
2019-10-31 16 104 120 86.67%
2019-09-30 16 103 119 86.55%
2019-08-31 16 104 120 86.67%
2019-07-31 16 103 119 86.55%
2019-06-30 17 105 122 86.07%
2019-05-31 17 103 120 85.83%
2019-04-30 18 99 117 84.62%
2019-03-31 18 99 117 84.62%
2019-02-28 18 102 120 85.00%
2019-01-31 18 101 119 84.87%
2018-12-31 18 100 118 84.75%
2018-11-30 18 96 114 84.21%
2018-10-31 18 91 109 83.49%
2018-09-30 18 90 108 83.33%
2018-08-31 18 91 109 83.49%
2018-07-31 17 94 111 84.68%
2018-06-30 17 93 110 84.55%
2018-05-31 17 94 111 84.68%
2018-04-30 17 95 112 84.82%
2018-03-31 17 94 111 84.68%
2018-02-28 17 96 113 84.96%
2018-01-31 17 98 115 85.22%
2017-12-31 16 98 114 85.96%
2017-11-30 15 98 113 86.73%
2017-10-31 15 100 115 86.96%
2017-09-30 14 99 113 87.61%
2017-08-31 12 103 115 89.57%
2017-07-31 11 99 110 90.00%
2017-06-30 11 97 108 89.81%
2017-05-31 11 95 106 89.62%
2017-04-30 12 96 108 88.89%
2017-03-31 12 98 110 89.09%
2017-02-28 12 98 110 89.09%
2017-01-31 12 98 110 89.09%
2016-12-31 12 95 107 88.79%
2016-11-30 12 95 107 88.79%
2016-10-31 12 94 106 88.68%
2016-09-30 12 92 104 88.46%
2016-08-31 13 99 112 88.39%
2016-07-31 13 98 111 88.29%
2016-06-30 13 95 108 87.96%
2016-05-31 12 99 111 89.19%
2016-04-30 11 102 113 90.27%
2016-03-31 12 103 115 89.57%
2016-02-29 13 104 117 88.89%
2016-01-31 12 112 124 90.32%
2015-12-31 13 118 131 90.08%
2015-11-30 13 120 133 90.23%
2015-10-31 13 123 136 90.44%
2015-09-30 14 128 142 90.14%
2015-08-31 13 130 143 90.91%
2015-07-31 14 132 146 90.41%
2015-06-30 13 134 147 91.16%
2015-05-31 13 130 143 90.91%
2015-04-30 13 132 145 91.03%
2015-03-31 14 132 146 90.41%
2015-02-28 15 136 151 90.07%
2015-01-31 15 136 151 90.07%
2014-12-31 16 137 153 89.54%
2014-11-30 14 141 155 90.97%
2014-10-31 14 142 156 91.03%
2014-09-30 13 142 155 91.61%
2014-08-31 13 142 155 91.61%
2014-07-31 13 142 155 91.61%
2014-06-30 13 145 158 91.77%
2014-05-31 13 149 162 91.98%
2014-04-30 13 154 167 92.22%
2014-03-31 14 155 169 91.72%
2014-02-28 16 157 173 90.75%
2014-01-31 15 159 174 91.38%
2013-12-31 15 153 168 91.07%
2013-11-30 15 148 163 90.80%
2013-10-31 15 145 160 90.63%
2013-09-30 15 144 159 90.57%
2013-08-31 14 146 160 91.25%
2013-07-31 13 150 163 92.02%
2013-06-30 12 153 165 92.73%
2013-05-31 12 158 170 92.94%
2013-04-30 11 162 173 93.64%
2013-03-31 11 168 179 93.85%
2013-02-28 11 176 187 94.12%
2013-01-31 11 175 186 94.09%
2012-12-31 10 177 187 94.65%
2012-11-30 9 183 192 95.31%
2012-10-31 9 182 191 95.29%
2012-09-30 9 185 194 95.36%
2012-08-31 9 185 194 95.36%
2012-07-31 11 204 215 94.88%
2012-06-30 12 212 224 94.64%
2012-05-31 11 220 231 95.24%
2012-04-30 11 223 234 95.30%
2012-03-31 11 226 237 95.36%
2012-02-29 13 235 248 94.76%
2012-01-31 14 268 282 95.04%
2011-12-31 14 271 285 95.09%
2011-11-30 13 271 284 95.42%
2011-10-31 14 269 283 95.05%
2011-09-30 15 270 285 94.74%
2011-08-31 16 300 316 94.94%
2011-07-31 16 295 311 94.86%
2011-06-30 15 294 309 95.15%
2011-05-31 13 285 298 95.64%
2011-04-30 13 274 287 95.47%
2011-03-31 14 264 278 94.96%
2011-02-28 15 259 274 94.53%
2011-01-31 15 254 269 94.42%
2010-12-31 17 240 257 93.39%
2010-11-30 17 231 248 93.15%
2010-10-31 17 180 197 91.37%
2010-09-30 18 175 193 90.67%
2010-08-31 18 162 180 90.00%
2010-07-31 18 154 172 89.53%
2010-06-30 18 144 162 88.89%
2010-05-31 16 139 155 89.68%
2010-04-30 16 135 151 89.40%
2010-03-31 15 127 142 89.44%
2010-02-28 12 123 135 91.11%
2010-01-31 13 118 131 90.08%
2009-12-31 13 116 129 89.92%
2009-11-30 13 117 130 90.00%
2009-10-31 13 112 125 89.60%
2009-09-30 12 119 131 90.84%
2009-08-31 12 120 132 90.91%
2009-07-31 12 90 102 88.24%
2009-06-30 12 90 102 88.24%
2009-05-31 10 91 101 90.10%
2009-04-30 10 90 100 90.00%
2009-03-31 11 90 101 89.11%
2009-02-28 11 90 101 89.11%
2009-01-31 11 90 101 89.11%
2008-12-31 12 95 107 88.79%
2008-11-30 12 96 108 88.89%
2008-10-31 12 93 105 88.57%
2008-09-30 12 91 103 88.35%
2008-08-31 12 89 101 88.12%
2008-07-31 12 87 99 87.88%
2008-06-30 13 84 97 86.60%
2008-05-31 11 86 97 88.66%
2008-04-30 10 87 97 89.69%
2008-03-31 9 88 97 90.72%
2008-02-29 9 85 94 90.43%
2008-01-31 9 82 91 90.11%
2007-12-31 10 80 90 88.89%
2007-11-30 10 80 90 88.89%
2007-10-31 9 72 81 88.89%
2007-09-30 9 66 75 88.00%
2007-08-31 9 63 72 87.50%
2007-07-31 9 57 66 86.36%
2007-06-30 10 54 64 84.38%
2007-05-31 10 53 63 84.13%
2007-04-30 11 54 65 83.08%
2007-03-31 11 49 60 81.67%
2007-02-28 10 47 57 82.46%
2007-01-31 10 47 57 82.46%
2006-12-31 9 50 59 84.75%
2006-11-30 7 52 59 88.14%
2006-10-31 7 51 58 87.93%
2006-09-30 8 49 57 85.96%
2006-08-31 8 49 57 85.96%
2006-07-31 6 50 56 89.29%
2006-06-30 6 48 54 88.89%
2006-05-31 6 46 52 88.46%
2006-04-30 5 44 49 89.80%
2006-03-31 6 44 50 88.00%
2006-02-28 6 43 49 87.76%
2006-01-31 6 42 48 87.50%
2005-12-31 6 42 48 87.50%
2005-11-30 6 40 46 86.96%
2005-10-31 6 40 46 86.96%
2005-09-30 6 41 47 87.23%
2005-08-31 5 39 44 88.64%
2005-07-31 5 36 41 87.80%
2005-06-30 4 37 41 90.24%
2005-05-31 4 39 43 90.70%
2005-04-30 4 37 41 90.24%
2005-03-31 4 36 40 90.00%
2005-02-28 5 36 41 87.80%
2005-01-31 5 37 42 88.10%
2004-12-31 5 37 42 88.10%
2004-11-30 4 35 39 89.74%
2004-10-31 5 37 42 88.10%
2004-09-30 5 35 40 87.50%
2004-08-31 5 35 40 87.50%
2004-07-31 5 36 41 87.80%
2004-06-30 5 37 42 88.10%
2004-05-31 3 39 42 92.86%
2004-04-30 5 40 45 88.89%
2004-03-31 4 42 46 91.30%
2004-02-29 3 40 43 93.02%
2004-01-31 3 40 43 93.02%
2003-12-31 3 39 42 92.86%
2003-11-30 3 37 40 92.50%
2003-10-31 3 40 43 93.02%
2003-09-30 3 41 44 93.18%
2003-08-31 3 40 43 93.02%
2003-07-31 3 42 45 93.33%
2003-06-30 3 39 42 92.86%
2003-05-31 3 39 42 92.86%
2003-04-30 3 39 42 92.86%
2003-03-31 3 35 38 92.11%

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