Moody's Investors Service Hong Kong 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 |
|---|---|---|---|---|
| 2024-05-18 | 5 | 105 | 110 | 95.45% |
| 2024-04-30 | 5 | 105 | 110 | 95.45% |
| 2024-03-31 | 5 | 105 | 110 | 95.45% |
| 2024-02-29 | 5 | 107 | 112 | 95.54% |
| 2024-01-31 | 5 | 107 | 112 | 95.54% |
| 2023-12-31 | 5 | 106 | 111 | 95.50% |
| 2023-11-30 | 5 | 107 | 112 | 95.54% |
| 2023-10-31 | 5 | 107 | 112 | 95.54% |
| 2023-09-30 | 5 | 108 | 113 | 95.58% |
| 2023-08-31 | 5 | 108 | 113 | 95.58% |
| 2023-07-31 | 5 | 106 | 111 | 95.50% |
| 2023-06-30 | 5 | 107 | 112 | 95.54% |
| 2023-05-31 | 5 | 108 | 113 | 95.58% |
| 2023-04-30 | 5 | 108 | 113 | 95.58% |
| 2023-03-31 | 5 | 111 | 116 | 95.69% |
| 2023-02-28 | 5 | 115 | 120 | 95.83% |
| 2023-01-31 | 5 | 118 | 123 | 95.93% |
| 2022-12-31 | 5 | 122 | 127 | 96.06% |
| 2022-11-30 | 5 | 123 | 128 | 96.09% |
| 2022-10-31 | 5 | 125 | 130 | 96.15% |
| 2022-09-30 | 5 | 126 | 131 | 96.18% |
| 2022-08-31 | 5 | 127 | 132 | 96.21% |
| 2022-07-31 | 5 | 128 | 133 | 96.24% |
| 2022-06-30 | 5 | 128 | 133 | 96.24% |
| 2022-05-31 | 5 | 129 | 134 | 96.27% |
| 2022-04-30 | 5 | 127 | 132 | 96.21% |
| 2022-03-31 | 5 | 128 | 133 | 96.24% |
| 2022-02-28 | 5 | 128 | 133 | 96.24% |
| 2022-01-31 | 5 | 123 | 128 | 96.09% |
| 2021-12-31 | 5 | 126 | 131 | 96.18% |
| 2021-11-30 | 5 | 124 | 129 | 96.12% |
| 2021-10-31 | 5 | 123 | 128 | 96.09% |
| 2021-09-30 | 5 | 122 | 127 | 96.06% |
| 2021-08-31 | 5 | 123 | 128 | 96.09% |
| 2021-07-31 | 5 | 124 | 129 | 96.12% |
| 2021-06-30 | 5 | 124 | 129 | 96.12% |
| 2021-05-31 | 5 | 123 | 128 | 96.09% |
| 2021-04-30 | 5 | 125 | 130 | 96.15% |
| 2021-03-31 | 5 | 125 | 130 | 96.15% |
| 2021-02-28 | 5 | 126 | 131 | 96.18% |
| 2021-01-31 | 5 | 127 | 132 | 96.21% |
| 2020-12-31 | 5 | 127 | 132 | 96.21% |
| 2020-11-30 | 5 | 129 | 134 | 96.27% |
| 2020-10-31 | 5 | 128 | 133 | 96.24% |
| 2020-09-30 | 5 | 129 | 134 | 96.27% |
| 2020-08-31 | 5 | 129 | 134 | 96.27% |
| 2020-07-31 | 5 | 126 | 131 | 96.18% |
| 2020-06-30 | 5 | 126 | 131 | 96.18% |
| 2020-05-31 | 5 | 124 | 129 | 96.12% |
| 2020-04-30 | 5 | 124 | 129 | 96.12% |
| 2020-03-31 | 5 | 124 | 129 | 96.12% |
| 2020-02-29 | 5 | 124 | 129 | 96.12% |
| 2020-01-31 | 5 | 124 | 129 | 96.12% |
| 2019-12-31 | 5 | 126 | 131 | 96.18% |
| 2019-11-30 | 5 | 126 | 131 | 96.18% |
| 2019-10-31 | 5 | 125 | 130 | 96.15% |
| 2019-09-30 | 5 | 122 | 127 | 96.06% |
| 2019-08-31 | 5 | 121 | 126 | 96.03% |
| 2019-07-31 | 5 | 121 | 126 | 96.03% |
| 2019-06-30 | 5 | 122 | 127 | 96.06% |
| 2019-05-31 | 5 | 120 | 125 | 96.00% |
| 2019-04-30 | 5 | 118 | 123 | 95.93% |
| 2019-03-31 | 5 | 128 | 133 | 96.24% |
| 2019-02-28 | 4 | 131 | 135 | 97.04% |
| 2019-01-31 | 4 | 125 | 129 | 96.90% |
| 2018-12-31 | 4 | 126 | 130 | 96.92% |
| 2018-11-30 | 4 | 128 | 132 | 96.97% |
| 2018-10-31 | 4 | 126 | 130 | 96.92% |
| 2018-09-30 | 4 | 123 | 127 | 96.85% |
| 2018-08-31 | 4 | 125 | 129 | 96.90% |
| 2018-07-31 | 4 | 120 | 124 | 96.77% |
| 2018-06-30 | 4 | 120 | 124 | 96.77% |
| 2018-05-31 | 4 | 118 | 122 | 96.72% |
| 2018-04-30 | 4 | 118 | 122 | 96.72% |
| 2018-03-31 | 4 | 121 | 125 | 96.80% |
| 2018-02-28 | 4 | 119 | 123 | 96.75% |
| 2018-01-31 | 3 | 118 | 121 | 97.52% |
| 2017-12-31 | 3 | 115 | 118 | 97.46% |
| 2017-11-30 | 3 | 116 | 119 | 97.48% |
| 2017-10-31 | 3 | 112 | 115 | 97.39% |
| 2017-09-30 | 3 | 107 | 110 | 97.27% |
| 2017-08-31 | 3 | 104 | 107 | 97.20% |
| 2017-07-31 | 3 | 106 | 109 | 97.25% |
| 2017-06-30 | 3 | 106 | 109 | 97.25% |
| 2017-05-31 | 4 | 107 | 111 | 96.40% |
| 2017-04-30 | 4 | 106 | 110 | 96.36% |
| 2017-03-31 | 4 | 104 | 108 | 96.30% |
| 2017-02-28 | 4 | 105 | 109 | 96.33% |
| 2017-01-31 | 4 | 106 | 110 | 96.36% |
| 2016-12-31 | 4 | 105 | 109 | 96.33% |
| 2016-11-30 | 4 | 104 | 108 | 96.30% |
| 2016-10-31 | 4 | 104 | 108 | 96.30% |
| 2016-09-30 | 4 | 105 | 109 | 96.33% |
| 2016-08-31 | 4 | 105 | 109 | 96.33% |
| 2016-07-31 | 4 | 106 | 110 | 96.36% |
| 2016-06-30 | 4 | 110 | 114 | 96.49% |
| 2016-05-31 | 4 | 112 | 116 | 96.55% |
| 2016-04-30 | 4 | 111 | 115 | 96.52% |
| 2016-03-31 | 4 | 111 | 115 | 96.52% |
| 2016-02-29 | 4 | 110 | 114 | 96.49% |
| 2016-01-31 | 4 | 106 | 110 | 96.36% |
| 2015-12-31 | 4 | 107 | 111 | 96.40% |
| 2015-11-30 | 4 | 105 | 109 | 96.33% |
| 2015-10-31 | 4 | 102 | 106 | 96.23% |
| 2015-09-30 | 4 | 101 | 105 | 96.19% |
| 2015-08-31 | 4 | 100 | 104 | 96.15% |
| 2015-07-31 | 4 | 100 | 104 | 96.15% |
| 2015-06-30 | 4 | 101 | 105 | 96.19% |
| 2015-05-31 | 4 | 103 | 107 | 96.26% |
| 2015-04-30 | 4 | 103 | 107 | 96.26% |
| 2015-03-31 | 4 | 104 | 108 | 96.30% |
| 2015-02-28 | 4 | 101 | 105 | 96.19% |
| 2015-01-31 | 4 | 102 | 106 | 96.23% |
| 2014-12-31 | 4 | 90 | 94 | 95.74% |
| 2014-11-30 | 4 | 86 | 90 | 95.56% |
| 2014-10-31 | 4 | 87 | 91 | 95.60% |
| 2014-09-30 | 4 | 85 | 89 | 95.51% |
| 2014-08-31 | 4 | 84 | 88 | 95.45% |
| 2014-07-31 | 4 | 82 | 86 | 95.35% |
| 2014-06-30 | 4 | 81 | 85 | 95.29% |
| 2014-05-31 | 4 | 81 | 85 | 95.29% |
| 2014-04-30 | 4 | 80 | 84 | 95.24% |
| 2014-03-31 | 4 | 81 | 85 | 95.29% |
| 2014-02-28 | 4 | 79 | 83 | 95.18% |
| 2014-01-31 | 3 | 78 | 81 | 96.30% |
| 2013-12-31 | 3 | 79 | 82 | 96.34% |
| 2013-11-30 | 3 | 77 | 80 | 96.25% |
| 2013-10-31 | 3 | 75 | 78 | 96.15% |
| 2013-09-30 | 3 | 72 | 75 | 96.00% |
| 2013-08-31 | 3 | 69 | 72 | 95.83% |
| 2013-07-31 | 3 | 71 | 74 | 95.95% |
| 2013-06-30 | 3 | 69 | 72 | 95.83% |
| 2013-05-31 | 3 | 71 | 74 | 95.95% |
| 2013-04-30 | 3 | 68 | 71 | 95.77% |
| 2013-03-31 | 3 | 68 | 71 | 95.77% |
| 2013-02-28 | 4 | 69 | 73 | 94.52% |
| 2013-01-31 | 3 | 70 | 73 | 95.89% |
| 2012-12-31 | 3 | 71 | 74 | 95.95% |
| 2012-11-30 | 3 | 73 | 76 | 96.05% |
| 2012-10-31 | 3 | 72 | 75 | 96.00% |
| 2012-09-30 | 3 | 72 | 75 | 96.00% |
| 2012-08-31 | 3 | 72 | 75 | 96.00% |
| 2012-07-31 | 3 | 72 | 75 | 96.00% |
| 2012-06-30 | 3 | 72 | 75 | 96.00% |
| 2012-05-31 | 3 | 72 | 75 | 96.00% |
| 2012-04-30 | 3 | 66 | 69 | 95.65% |
| 2012-03-31 | 3 | 68 | 71 | 95.77% |
| 2012-02-29 | 3 | 68 | 71 | 95.77% |
| 2012-01-31 | 3 | 67 | 70 | 95.71% |
| 2011-12-31 | 3 | 67 | 70 | 95.71% |
| 2011-11-30 | 3 | 64 | 67 | 95.52% |
| 2011-10-31 | 3 | 64 | 67 | 95.52% |
| 2011-09-30 | 3 | 63 | 66 | 95.45% |
| 2011-08-31 | 3 | 60 | 63 | 95.24% |
| 2011-07-31 | 3 | 58 | 61 | 95.08% |
| 2011-06-30 | 3 | 59 | 62 | 95.16% |
| 2011-05-31 | 0 | 0 | 0 | 0.00% |
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