CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)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 |
|---|---|---|---|---|
| 2024-04-20 | 5 | 31 | 36 | 86.11% |
| 2023-12-31 | 5 | 31 | 36 | 86.11% |
| 2022-12-31 | 5 | 26 | 31 | 83.87% |
| 2021-12-31 | 5 | 22 | 27 | 81.48% |
| 2020-12-31 | 2 | 7 | 9 | 77.78% |
| 2019-12-31 | 4 | 1 | 5 | 20.00% |
| 2018-12-31 | 4 | 0 | 4 | 0.00% |
| 2017-12-31 | 5 | 8 | 13 | 61.54% |
| 2016-12-31 | 4 | 17 | 21 | 80.95% |
| 2015-12-31 | 5 | 22 | 27 | 81.48% |
| 2014-12-31 | 6 | 15 | 21 | 71.43% |
| 2013-12-31 | 5 | 13 | 18 | 72.22% |
| 2012-12-31 | 3 | 17 | 20 | 85.00% |
| 2011-12-31 | 3 | 14 | 17 | 82.35% |
| 2010-12-31 | 4 | 12 | 16 | 75.00% |
| 2009-12-31 | 4 | 8 | 12 | 66.67% |
| 2008-12-31 | 4 | 4 | 8 | 50.00% |
| 2007-12-31 | 0 | 0 | 0 | 0.00% |
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