HSBC BROKING SECURITIES (ASIA) LIMITED 滙豐金融證券(亞洲)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
2024-06-05 6 85 91 93.41%
2024-05-31 6 85 91 93.41%
2024-04-30 6 85 91 93.41%
2024-03-31 6 84 90 93.33%
2024-02-29 6 84 90 93.33%
2024-01-31 6 85 91 93.41%
2023-12-31 6 85 91 93.41%
2023-11-30 6 84 90 93.33%
2023-10-31 6 84 90 93.33%
2023-09-30 6 83 89 93.26%
2023-08-31 6 83 89 93.26%
2023-07-31 6 83 89 93.26%
2023-06-30 6 84 90 93.33%
2023-05-31 6 87 93 93.55%
2023-04-30 6 87 93 93.55%
2023-03-31 7 86 93 92.47%
2023-02-28 7 86 93 92.47%
2023-01-31 7 85 92 92.39%
2022-12-31 7 85 92 92.39%
2022-11-30 7 86 93 92.47%
2022-10-31 7 84 91 92.31%
2022-09-30 6 86 92 93.48%
2022-08-31 5 87 92 94.57%
2022-07-31 5 89 94 94.68%
2022-06-30 5 86 91 94.51%
2022-05-31 6 89 95 93.68%
2022-04-30 6 87 93 93.55%
2022-03-31 6 84 90 93.33%
2022-02-28 6 85 91 93.41%
2022-01-31 6 85 91 93.41%
2021-12-31 6 86 92 93.48%
2021-11-30 6 86 92 93.48%
2021-10-31 6 88 94 93.62%
2021-09-30 6 89 95 93.68%
2021-08-31 7 90 97 92.78%
2021-07-31 7 90 97 92.78%
2021-06-30 7 92 99 92.93%
2021-05-31 7 94 101 93.07%
2021-04-30 6 98 104 94.23%
2021-03-31 6 99 105 94.29%
2021-02-28 6 98 104 94.23%
2021-01-31 6 98 104 94.23%
2020-12-31 6 98 104 94.23%
2020-11-30 6 99 105 94.29%
2020-10-31 6 94 100 94.00%
2020-09-30 6 93 99 93.94%
2020-08-31 6 93 99 93.94%
2020-07-31 7 94 101 93.07%
2020-06-30 7 95 102 93.14%
2020-05-31 7 94 101 93.07%
2020-04-30 7 95 102 93.14%
2020-03-31 7 96 103 93.20%
2020-02-29 7 94 101 93.07%
2020-01-31 7 94 101 93.07%
2019-12-31 7 99 106 93.40%
2019-11-30 7 103 110 93.64%
2019-10-31 7 105 112 93.75%
2019-09-30 7 103 110 93.64%
2019-08-31 7 103 110 93.64%
2019-07-31 7 103 110 93.64%
2019-06-30 7 103 110 93.64%
2019-05-31 7 105 112 93.75%
2019-04-30 7 104 111 93.69%
2019-03-31 7 103 110 93.64%
2019-02-28 7 99 106 93.40%
2019-01-31 7 101 108 93.52%
2018-12-31 7 99 106 93.40%
2018-11-30 7 100 107 93.46%
2018-10-31 7 100 107 93.46%
2018-09-30 7 102 109 93.58%
2018-08-31 7 103 110 93.64%
2018-07-31 5 105 110 95.45%
2018-06-30 5 103 108 95.37%
2018-05-31 5 103 108 95.37%
2018-04-30 5 103 108 95.37%
2018-03-31 6 105 111 94.59%
2018-02-28 7 103 110 93.64%
2018-01-31 7 102 109 93.58%
2017-12-31 7 101 108 93.52%
2017-11-30 7 104 111 93.69%
2017-10-31 6 105 111 94.59%
2017-09-30 6 105 111 94.59%
2017-08-31 5 109 114 95.61%
2017-07-31 7 103 110 93.64%
2017-06-30 8 105 113 92.92%
2017-05-31 9 107 116 92.24%
2017-04-30 9 106 115 92.17%
2017-03-31 9 108 117 92.31%
2017-02-28 8 108 116 93.10%
2017-01-31 8 109 117 93.16%
2016-12-31 8 105 113 92.92%
2016-11-30 7 108 115 93.91%
2016-10-31 7 109 116 93.97%
2016-09-30 7 109 116 93.97%
2016-08-31 7 110 117 94.02%
2016-07-31 7 110 117 94.02%
2016-06-30 8 111 119 93.28%
2016-05-31 8 111 119 93.28%
2016-04-30 8 112 120 93.33%
2016-03-31 8 112 120 93.33%
2016-02-29 8 114 122 93.44%
2016-01-31 9 112 121 92.56%
2015-12-31 9 114 123 92.68%
2015-11-30 9 115 124 92.74%
2015-10-31 9 116 125 92.80%
2015-09-30 9 115 124 92.74%
2015-08-31 10 115 125 92.00%
2015-07-31 10 111 121 91.74%
2015-06-30 10 113 123 91.87%
2015-05-31 10 112 122 91.80%
2015-04-30 10 110 120 91.67%
2015-03-31 9 111 120 92.50%
2015-02-28 9 110 119 92.44%
2015-01-31 9 110 119 92.44%
2014-12-31 9 109 118 92.37%
2014-11-30 9 108 117 92.31%
2014-10-31 9 105 114 92.11%
2014-09-30 9 105 114 92.11%
2014-08-31 9 107 116 92.24%
2014-07-31 9 108 117 92.31%
2014-06-30 8 107 115 93.04%
2014-05-31 6 108 114 94.74%
2014-04-30 6 109 115 94.78%
2014-03-31 4 123 127 96.85%
2014-02-28 3 117 120 97.50%
2014-01-31 3 113 116 97.41%
2013-12-31 3 114 117 97.44%
2013-11-30 6 141 147 95.92%
2013-10-31 6 142 148 95.95%
2013-09-30 6 144 150 96.00%
2013-08-31 6 146 152 96.05%
2013-07-31 6 148 154 96.10%
2013-06-30 8 146 154 94.81%
2013-05-31 8 145 153 94.77%
2013-04-30 7 147 154 95.45%
2013-03-31 7 148 155 95.48%
2013-02-28 7 150 157 95.54%
2013-01-31 7 152 159 95.60%
2012-12-31 7 150 157 95.54%
2012-11-30 7 149 156 95.51%
2012-10-31 7 151 158 95.57%
2012-09-30 7 153 160 95.63%
2012-08-31 7 156 163 95.71%
2012-07-31 7 161 168 95.83%
2012-06-30 7 161 168 95.83%
2012-05-31 7 160 167 95.81%
2012-04-30 7 163 170 95.88%
2012-03-31 7 164 171 95.91%
2012-02-29 7 163 170 95.88%
2012-01-31 7 165 172 95.93%
2011-12-31 8 175 183 95.63%
2011-11-30 8 175 183 95.63%
2011-10-31 9 174 183 95.08%
2011-09-30 10 171 181 94.48%
2011-08-31 10 169 179 94.41%
2011-07-31 10 169 179 94.41%
2011-06-30 10 171 181 94.48%
2011-05-31 10 171 181 94.48%
2011-04-30 10 169 179 94.41%
2011-03-31 10 175 185 94.59%
2011-02-28 10 175 185 94.59%
2011-01-31 10 178 188 94.68%
2010-12-31 10 182 192 94.79%
2010-11-30 10 182 192 94.79%
2010-10-31 10 181 191 94.76%
2010-09-30 10 182 192 94.79%
2010-08-31 10 182 192 94.79%
2010-07-31 10 180 190 94.74%
2010-06-30 10 177 187 94.65%
2010-05-31 10 173 183 94.54%
2010-04-30 9 171 180 95.00%
2010-03-31 9 174 183 95.08%
2010-02-28 9 175 184 95.11%
2010-01-31 9 176 185 95.14%
2009-12-31 8 176 184 95.65%
2009-11-30 7 175 182 96.15%
2009-10-31 8 172 180 95.56%
2009-09-30 8 171 179 95.53%
2009-08-31 8 171 179 95.53%
2009-07-31 8 172 180 95.56%
2009-06-30 8 170 178 95.51%
2009-05-31 8 169 177 95.48%
2009-04-30 8 171 179 95.53%
2009-03-31 8 171 179 95.53%
2009-02-28 8 174 182 95.60%
2009-01-31 8 173 181 95.58%
2008-12-31 8 171 179 95.53%
2008-11-30 8 171 179 95.53%
2008-10-31 9 168 177 94.92%
2008-09-30 9 167 176 94.89%
2008-08-31 9 167 176 94.89%
2008-07-31 9 166 175 94.86%
2008-06-30 9 167 176 94.89%
2008-05-31 9 163 172 94.77%
2008-04-30 9 162 171 94.74%
2008-03-31 9 160 169 94.67%
2008-02-29 9 160 169 94.67%
2008-01-31 9 159 168 94.64%
2007-12-31 9 156 165 94.55%
2007-11-30 9 152 161 94.41%
2007-10-31 9 150 159 94.34%
2007-09-30 9 151 160 94.38%
2007-08-31 9 153 162 94.44%
2007-07-31 9 152 161 94.41%
2007-06-30 9 150 159 94.34%
2007-05-31 9 150 159 94.34%
2007-04-30 9 149 158 94.30%
2007-03-31 9 146 155 94.19%
2007-02-28 9 146 155 94.19%
2007-01-31 9 145 154 94.16%
2006-12-31 9 137 146 93.84%
2006-11-30 9 138 147 93.88%
2006-10-31 9 136 145 93.79%
2006-09-30 9 138 147 93.88%
2006-08-31 8 139 147 94.56%
2006-07-31 7 136 143 95.10%
2006-06-30 7 132 139 94.96%
2006-05-31 7 131 138 94.93%
2006-04-30 7 131 138 94.93%
2006-03-31 7 135 142 95.07%
2006-02-28 7 136 143 95.10%
2006-01-31 7 136 143 95.10%
2005-12-31 7 138 145 95.17%
2005-11-30 7 137 144 95.14%
2005-10-31 7 136 143 95.10%
2005-09-30 7 136 143 95.10%
2005-08-31 7 137 144 95.14%
2005-07-31 7 137 144 95.14%
2005-06-30 8 133 141 94.33%
2005-05-31 8 127 135 94.07%
2005-04-30 8 128 136 94.12%
2005-03-31 8 128 136 94.12%
2005-02-28 8 128 136 94.12%
2005-01-31 8 128 136 94.12%
2004-12-31 8 127 135 94.07%
2004-11-30 8 125 133 93.98%
2004-10-31 8 124 132 93.94%
2004-09-30 8 123 131 93.89%
2004-08-31 8 123 131 93.89%
2004-07-31 8 122 130 93.85%
2004-06-30 8 119 127 93.70%
2004-05-31 8 121 129 93.80%
2004-04-30 8 120 128 93.75%
2004-03-31 8 117 125 93.60%
2004-02-29 8 116 124 93.55%
2004-01-31 8 114 122 93.44%
2003-12-31 9 112 121 92.56%
2003-11-30 9 108 117 92.31%
2003-10-31 9 108 117 92.31%
2003-09-30 9 105 114 92.11%
2003-08-31 9 105 114 92.11%
2003-07-31 9 105 114 92.11%
2003-06-30 9 105 114 92.11%
2003-05-31 9 106 115 92.17%
2003-04-30 9 106 115 92.17%
2003-03-31 12 103 115 89.57%

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