UBS SECURITIES HONG KONG LIMITED

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
2024-05-17 29 346 375 92.27%
2024-04-30 29 346 375 92.27%
2024-03-31 29 345 374 92.25%
2024-02-29 30 346 376 92.02%
2024-01-31 29 346 375 92.27%
2023-12-31 28 346 374 92.51%
2023-11-30 27 344 371 92.72%
2023-10-31 27 332 359 92.48%
2023-09-30 26 328 354 92.66%
2023-08-31 27 320 347 92.22%
2023-07-31 27 316 343 92.13%
2023-06-30 28 314 342 91.81%
2023-05-31 28 317 345 91.88%
2023-04-30 29 315 344 91.57%
2023-03-31 29 316 345 91.59%
2023-02-28 28 318 346 91.91%
2023-01-31 28 315 343 91.84%
2022-12-31 28 314 342 91.81%
2022-11-30 28 311 339 91.74%
2022-10-31 29 316 345 91.59%
2022-09-30 29 316 345 91.59%
2022-08-31 29 307 336 91.37%
2022-07-31 29 305 334 91.32%
2022-06-30 29 307 336 91.37%
2022-05-31 29 313 342 91.52%
2022-04-30 29 315 344 91.57%
2022-03-31 28 322 350 92.00%
2022-02-28 28 326 354 92.09%
2022-01-31 29 320 349 91.69%
2021-12-31 29 308 337 91.39%
2021-11-30 28 309 337 91.69%
2021-10-31 27 310 337 91.99%
2021-09-30 26 309 335 92.24%
2021-08-31 25 310 335 92.54%
2021-07-31 26 295 321 91.90%
2021-06-30 26 296 322 91.93%
2021-05-31 26 291 317 91.80%
2021-04-30 26 299 325 92.00%
2021-03-31 26 301 327 92.05%
2021-02-28 26 300 326 92.02%
2021-01-31 26 290 316 91.77%
2020-12-31 25 294 319 92.16%
2020-11-30 25 304 329 92.40%
2020-10-31 25 299 324 92.28%
2020-09-30 24 288 312 92.31%
2020-08-31 21 276 297 92.93%
2020-07-31 21 265 286 92.66%
2020-06-30 22 257 279 92.11%
2020-05-31 22 246 268 91.79%
2020-04-30 21 243 264 92.05%
2020-03-31 22 247 269 91.82%
2020-02-29 22 246 268 91.79%
2020-01-31 22 243 265 91.70%
2019-12-31 22 242 264 91.67%
2019-11-30 23 244 267 91.39%
2019-10-31 25 247 272 90.81%
2019-09-30 26 254 280 90.71%
2019-08-31 26 254 280 90.71%
2019-07-31 26 254 280 90.71%
2019-06-30 27 255 282 90.43%
2019-05-31 27 258 285 90.53%
2019-04-30 28 267 295 90.51%
2019-03-31 26 271 297 91.25%
2019-02-28 26 273 299 91.30%
2019-01-31 24 274 298 91.95%
2018-12-31 24 272 296 91.89%
2018-11-30 24 271 295 91.86%
2018-10-31 25 263 288 91.32%
2018-09-30 25 255 280 91.07%
2018-08-31 24 250 274 91.24%
2018-07-31 21 248 269 92.19%
2018-06-30 21 249 270 92.22%
2018-05-31 20 252 272 92.65%
2018-04-30 20 259 279 92.83%
2018-03-31 22 265 287 92.33%
2018-02-28 23 273 296 92.23%
2018-01-31 25 271 296 91.55%
2017-12-31 23 270 293 92.15%
2017-11-30 21 271 292 92.81%
2017-10-31 21 268 289 92.73%
2017-09-30 22 264 286 92.31%
2017-08-31 22 269 291 92.44%
2017-07-31 21 268 289 92.73%
2017-06-30 20 271 291 93.13%
2017-05-31 21 278 299 92.98%
2017-04-30 21 282 303 93.07%
2017-03-31 20 284 304 93.42%
2017-02-28 21 288 309 93.20%
2017-01-31 22 286 308 92.86%
2016-12-31 22 289 311 92.93%
2016-11-30 21 292 313 93.29%
2016-10-31 21 296 317 93.38%
2016-09-30 21 298 319 93.42%
2016-08-31 21 299 320 93.44%
2016-07-31 21 290 311 93.25%
2016-06-30 21 301 322 93.48%
2016-05-31 21 308 329 93.62%
2016-04-30 21 315 336 93.75%
2016-03-31 20 323 343 94.17%
2016-02-29 21 325 346 93.93%
2016-01-31 20 325 345 94.20%
2015-12-31 19 327 346 94.51%
2015-11-30 20 325 345 94.20%
2015-10-31 20 320 340 94.12%
2015-09-30 19 321 340 94.41%
2015-08-31 19 322 341 94.43%
2015-07-31 17 314 331 94.86%
2015-06-30 19 314 333 94.29%
2015-05-31 19 319 338 94.38%
2015-04-30 20 328 348 94.25%
2015-03-31 20 330 350 94.29%
2015-02-28 20 338 358 94.41%
2015-01-31 20 335 355 94.37%
2014-12-31 21 330 351 94.02%
2014-11-30 21 333 354 94.07%
2014-10-31 21 334 355 94.08%
2014-09-30 21 339 360 94.17%
2014-08-31 21 335 356 94.10%
2014-07-31 19 326 345 94.49%
2014-06-30 17 329 346 95.09%
2014-05-31 17 338 355 95.21%
2014-04-30 17 349 366 95.36%
2014-03-31 18 356 374 95.19%
2014-02-28 18 357 375 95.20%
2014-01-31 18 356 374 95.19%
2013-12-31 15 347 362 95.86%
2013-11-30 15 343 358 95.81%
2013-10-31 15 345 360 95.83%
2013-09-30 17 345 362 95.30%
2013-08-31 17 351 368 95.38%
2013-07-31 16 349 365 95.62%
2013-06-30 16 331 347 95.39%
2013-05-31 16 334 350 95.43%
2013-04-30 17 333 350 95.14%
2013-03-31 17 338 355 95.21%
2013-02-28 17 340 357 95.24%
2013-01-31 17 342 359 95.26%
2012-12-31 18 346 364 95.05%
2012-11-30 18 349 367 95.10%
2012-10-31 19 345 364 94.78%
2012-09-30 18 354 372 95.16%
2012-08-31 19 347 366 94.81%
2012-07-31 20 299 319 93.73%
2012-06-30 19 307 326 94.17%
2012-05-31 10 100 110 90.91%
2012-04-30 9 99 108 91.67%
2012-03-31 9 98 107 91.59%
2012-02-29 9 105 114 92.11%
2012-01-31 9 108 117 92.31%
2011-12-31 9 106 115 92.17%
2011-11-30 9 107 116 92.24%
2011-10-31 9 104 113 92.04%
2011-09-30 9 101 110 91.82%
2011-08-31 9 98 107 91.59%
2011-07-31 9 98 107 91.59%
2011-06-30 9 94 103 91.26%
2011-05-31 8 94 102 92.16%
2011-04-30 8 89 97 91.75%
2011-03-31 8 88 96 91.67%
2011-02-28 8 83 91 91.21%
2011-01-31 9 82 91 90.11%
2010-12-31 8 80 88 90.91%
2010-11-30 8 79 87 90.80%
2010-10-31 5 82 87 94.25%
2010-09-30 4 80 84 95.24%
2010-08-31 5 77 82 93.90%
2010-07-31 5 75 80 93.75%
2010-06-30 5 68 73 93.15%
2010-05-31 4 69 73 94.52%
2010-04-30 5 67 72 93.06%
2010-03-31 5 66 71 92.96%
2010-02-28 5 64 69 92.75%
2010-01-31 6 59 65 90.77%
2009-12-31 6 61 67 91.04%
2009-11-30 6 59 65 90.77%
2009-10-31 6 58 64 90.63%
2009-09-30 6 55 61 90.16%
2009-08-31 6 53 59 89.83%
2009-07-31 6 49 55 89.09%
2009-06-30 6 50 56 89.29%
2009-05-31 6 50 56 89.29%
2009-04-30 5 46 51 90.20%
2009-03-31 5 54 59 91.53%
2009-02-28 4 54 58 93.10%
2009-01-31 4 53 57 92.98%
2008-12-31 4 52 56 92.86%
2008-11-30 4 52 56 92.86%
2008-10-31 4 52 56 92.86%
2008-09-30 4 54 58 93.10%
2008-08-31 4 53 57 92.98%
2008-07-31 5 51 56 91.07%
2008-06-30 5 47 52 90.38%
2008-05-31 5 48 53 90.57%
2008-04-30 5 50 55 90.91%
2008-03-31 6 51 57 89.47%
2008-02-29 6 53 59 89.83%
2008-01-31 6 53 59 89.83%
2007-12-31 6 53 59 89.83%
2007-11-30 6 52 58 89.66%
2007-10-31 6 50 56 89.29%
2007-09-30 6 51 57 89.47%
2007-08-31 6 51 57 89.47%
2007-07-31 6 52 58 89.66%
2007-06-30 6 47 53 88.68%
2007-05-31 5 45 50 90.00%
2007-04-30 5 44 49 89.80%
2007-03-31 6 46 52 88.46%
2007-02-28 6 46 52 88.46%
2007-01-31 6 46 52 88.46%
2006-12-31 6 43 49 87.76%
2006-11-30 6 31 37 83.78%
2006-10-31 6 31 37 83.78%
2006-09-30 6 25 31 80.65%
2006-08-31 6 24 30 80.00%
2006-07-31 6 24 30 80.00%
2006-06-30 6 24 30 80.00%
2006-05-31 5 25 30 83.33%
2006-04-30 4 26 30 86.67%
2006-03-31 4 26 30 86.67%
2006-02-28 3 25 28 89.29%
2006-01-31 3 25 28 89.29%
2005-12-31 4 24 28 85.71%
2005-11-30 3 24 27 88.89%
2005-10-31 3 24 27 88.89%
2005-09-30 4 24 28 85.71%
2005-08-31 4 25 29 86.21%
2005-07-31 4 25 29 86.21%
2005-06-30 4 24 28 85.71%
2005-05-31 4 25 29 86.21%
2005-04-30 5 23 28 82.14%
2005-03-31 4 22 26 84.62%
2005-02-28 6 21 27 77.78%
2005-01-31 6 21 27 77.78%
2004-12-31 6 21 27 77.78%
2004-11-30 6 20 26 76.92%
2004-10-31 6 20 26 76.92%
2004-09-30 6 20 26 76.92%
2004-08-31 6 20 26 76.92%
2004-07-31 6 18 24 75.00%
2004-06-30 6 18 24 75.00%
2004-05-31 6 17 23 73.91%
2004-04-30 6 16 22 72.73%
2004-03-31 6 15 21 71.43%
2004-02-29 6 15 21 71.43%
2004-01-31 6 16 22 72.73%
2003-12-31 5 17 22 77.27%
2003-11-30 5 18 23 78.26%
2003-10-31 5 18 23 78.26%
2003-09-30 5 18 23 78.26%
2003-08-31 5 16 21 76.19%
2003-07-31 5 16 21 76.19%
2003-06-30 5 16 21 76.19%
2003-05-31 5 17 22 77.27%
2003-04-30 5 18 23 78.26%
2003-03-31 5 19 24 79.17%

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