CMS ASSET MANAGEMENT (HK) CO., LIMITED 招商證券資產管理(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 |
|---|---|---|---|---|
| 2024-04-30 | 3 | 6 | 9 | 66.67% |
| 2023-12-31 | 3 | 6 | 9 | 66.67% |
| 2022-12-31 | 4 | 6 | 10 | 60.00% |
| 2021-12-31 | 3 | 7 | 10 | 70.00% |
| 2020-12-31 | 2 | 6 | 8 | 75.00% |
| 2019-12-31 | 4 | 3 | 7 | 42.86% |
| 2018-12-31 | 3 | 8 | 11 | 72.73% |
| 2017-12-31 | 3 | 6 | 9 | 66.67% |
| 2016-12-31 | 4 | 14 | 18 | 77.78% |
| 2015-12-31 | 4 | 12 | 16 | 75.00% |
| 2014-12-31 | 5 | 11 | 16 | 68.75% |
| 2013-12-31 | 3 | 14 | 17 | 82.35% |
| 2012-12-31 | 4 | 13 | 17 | 76.47% |
| 2011-12-31 | 5 | 14 | 19 | 73.68% |
| 2010-12-31 | 4 | 10 | 14 | 71.43% |
| 2009-12-31 | 3 | 6 | 9 | 66.67% |
| 2008-12-31 | 0 | 0 | 0 | 0.00% |
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