CIS SECURITIES ASSET MANAGEMENT LIMITED 順安證券資產管理有限公司

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
2021-11-29 3 16 19 84.21%
2020-12-31 4 22 26 84.62%
2019-12-31 4 27 31 87.10%
2018-12-31 3 24 27 88.89%
2017-12-31 3 33 36 91.67%
2016-12-31 6 19 25 76.00%
2015-12-31 5 24 29 82.76%
2014-12-31 6 22 28 78.57%
2013-12-31 7 59 66 89.39%
2012-12-31 6 55 61 90.16%
2011-12-31 6 55 61 90.16%
2010-12-31 5 18 23 78.26%
2009-12-31 4 16 20 80.00%
2008-12-31 3 1 4 25.00%
2007-12-31 2 0 2 0.00%
2006-12-31 0 0 0 0.00%

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