CLSA LIMITED 中信里昂證券有限公司
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 |
|---|---|---|---|---|
| 2024-04-24 | 42 | 907 | 949 | 95.57% |
| 2023-12-31 | 40 | 832 | 872 | 95.41% |
| 2022-12-31 | 38 | 625 | 663 | 94.27% |
| 2021-12-31 | 29 | 476 | 505 | 94.26% |
| 2020-12-31 | 21 | 306 | 327 | 93.58% |
| 2019-12-31 | 24 | 310 | 334 | 92.81% |
| 2018-12-31 | 31 | 316 | 347 | 91.07% |
| 2017-12-31 | 21 | 282 | 303 | 93.07% |
| 2016-12-31 | 22 | 264 | 286 | 92.31% |
| 2015-12-31 | 20 | 279 | 299 | 93.31% |
| 2014-12-31 | 15 | 270 | 285 | 94.74% |
| 2013-12-31 | 4 | 267 | 271 | 98.52% |
| 2012-12-31 | 5 | 275 | 280 | 98.21% |
| 2011-12-31 | 7 | 232 | 239 | 97.07% |
| 2010-12-31 | 7 | 213 | 220 | 96.82% |
| 2009-12-31 | 7 | 163 | 170 | 95.88% |
| 2008-12-31 | 7 | 154 | 161 | 95.65% |
| 2007-12-31 | 7 | 123 | 130 | 94.62% |
| 2006-12-31 | 6 | 97 | 103 | 94.17% |
| 2005-12-31 | 7 | 73 | 80 | 91.25% |
| 2004-12-31 | 7 | 62 | 69 | 89.86% |
| 2003-12-31 | 8 | 69 | 77 | 89.61% |
| 2003-03-31 | 7 | 62 | 69 | 89.86% |
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