Neuberger Berman Asia Limited
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 |
|---|---|---|---|---|
| 2024-04-19 | 4 | 37 | 41 | 90.24% |
| 2023-12-31 | 4 | 37 | 41 | 90.24% |
| 2022-12-31 | 5 | 34 | 39 | 87.18% |
| 2021-12-31 | 5 | 36 | 41 | 87.80% |
| 2020-12-31 | 5 | 33 | 38 | 86.84% |
| 2019-12-31 | 3 | 31 | 34 | 91.18% |
| 2018-12-31 | 4 | 29 | 33 | 87.88% |
| 2017-12-31 | 3 | 33 | 36 | 91.67% |
| 2016-12-31 | 4 | 36 | 40 | 90.00% |
| 2015-12-31 | 4 | 34 | 38 | 89.47% |
| 2014-12-31 | 4 | 35 | 39 | 89.74% |
| 2013-12-31 | 4 | 26 | 30 | 86.67% |
| 2012-12-31 | 4 | 18 | 22 | 81.82% |
| 2011-12-31 | 3 | 14 | 17 | 82.35% |
| 2010-12-31 | 3 | 13 | 16 | 81.25% |
| 2009-12-31 | 4 | 12 | 16 | 75.00% |
| 2008-12-31 | 2 | 16 | 18 | 88.89% |
| 2007-12-31 | 0 | 0 | 0 | 0.00% |
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