SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED 西證(香港)證券經紀有限公司

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
2024-04-26 3 0 3 0.00%
2023-12-31 3 0 3 0.00%
2022-12-31 5 3 8 37.50%
2021-12-31 9 13 22 59.09%
2020-12-31 10 20 30 66.67%
2019-12-31 11 25 36 69.44%
2018-12-31 11 38 49 77.55%
2017-12-31 10 44 54 81.48%
2016-12-31 8 49 57 85.96%
2015-12-31 8 46 54 85.19%
2014-12-31 5 48 53 90.57%
2013-12-31 4 67 71 94.37%
2012-12-31 3 74 77 96.10%
2011-12-31 3 74 77 96.10%
2010-12-31 5 84 89 94.38%
2009-12-31 4 57 61 93.44%
2008-12-31 3 55 58 94.83%
2007-12-31 3 71 74 95.95%
2006-12-31 2 41 43 95.35%
2005-12-31 2 38 40 95.00%
2004-12-31 2 32 34 94.12%
2003-12-31 2 29 31 93.55%
2003-03-31 2 14 16 87.50%

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