CPPIB AE Investments 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 |
|---|---|---|---|---|
| 2024-05-18 | 2 | 6 | 8 | 75.00% |
| 2024-04-30 | 2 | 6 | 8 | 75.00% |
| 2024-03-31 | 2 | 6 | 8 | 75.00% |
| 2024-02-29 | 4 | 18 | 22 | 81.82% |
| 2024-01-31 | 4 | 19 | 23 | 82.61% |
| 2023-12-31 | 4 | 19 | 23 | 82.61% |
| 2023-11-30 | 4 | 19 | 23 | 82.61% |
| 2023-10-31 | 4 | 19 | 23 | 82.61% |
| 2023-09-30 | 4 | 19 | 23 | 82.61% |
| 2023-08-31 | 3 | 20 | 23 | 86.96% |
| 2023-07-31 | 3 | 21 | 24 | 87.50% |
| 2023-06-30 | 3 | 22 | 25 | 88.00% |
| 2023-05-31 | 3 | 22 | 25 | 88.00% |
| 2023-04-30 | 3 | 23 | 26 | 88.46% |
| 2023-03-31 | 4 | 25 | 29 | 86.21% |
| 2023-02-28 | 4 | 25 | 29 | 86.21% |
| 2023-01-31 | 4 | 25 | 29 | 86.21% |
| 2022-12-31 | 4 | 24 | 28 | 85.71% |
| 2022-11-30 | 4 | 24 | 28 | 85.71% |
| 2022-10-31 | 4 | 25 | 29 | 86.21% |
| 2022-09-30 | 4 | 25 | 29 | 86.21% |
| 2022-08-31 | 4 | 23 | 27 | 85.19% |
| 2022-07-31 | 4 | 24 | 28 | 85.71% |
| 2022-06-30 | 3 | 25 | 28 | 89.29% |
| 2022-05-31 | 3 | 25 | 28 | 89.29% |
| 2022-04-30 | 3 | 25 | 28 | 89.29% |
| 2022-03-31 | 3 | 25 | 28 | 89.29% |
| 2022-02-28 | 3 | 0 | 3 | 0.00% |
| 2022-01-31 | 3 | 0 | 3 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
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