SMBC Nikko Securities (Hong Kong) Limited 日興證券（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 |
|---|---|---|---|---|
| 2024-04-25 | 9 | 67 | 76 | 88.16% |
| 2023-12-31 | 8 | 52 | 60 | 86.67% |
| 2022-12-31 | 11 | 45 | 56 | 80.36% |
| 2021-12-31 | 11 | 36 | 47 | 76.60% |
| 2020-12-31 | 10 | 38 | 48 | 79.17% |
| 2019-12-31 | 11 | 35 | 46 | 76.09% |
| 2018-12-31 | 12 | 39 | 51 | 76.47% |
| 2017-12-31 | 13 | 28 | 41 | 68.29% |
| 2016-12-31 | 11 | 26 | 37 | 70.27% |
| 2015-12-31 | 10 | 26 | 36 | 72.22% |
| 2014-12-31 | 9 | 25 | 34 | 73.53% |
| 2013-12-31 | 8 | 20 | 28 | 71.43% |
| 2012-12-31 | 9 | 22 | 31 | 70.97% |
| 2011-12-31 | 5 | 23 | 28 | 82.14% |
| 2010-12-31 | 2 | 5 | 7 | 71.43% |
| 2009-12-31 | 5 | 2 | 7 | 28.57% |
| 2008-12-31 | 5 | 4 | 9 | 44.44% |
| 2007-12-31 | 4 | 7 | 11 | 63.64% |
| 2006-12-31 | 3 | 8 | 11 | 72.73% |
| 2005-12-31 | 2 | 5 | 7 | 71.43% |
| 2004-12-31 | 3 | 6 | 9 | 66.67% |
| 2003-12-31 | 2 | 5 | 7 | 71.43% |
| 2003-03-31 | 2 | 2 | 4 | 50.00% |
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