UBS SECURITIES 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 |
|---|---|---|---|---|
| 2024-05-03 | 18 | 358 | 376 | 95.21% |
| 2023-12-31 | 20 | 346 | 366 | 94.54% |
| 2022-12-31 | 19 | 287 | 306 | 93.79% |
| 2021-12-31 | 22 | 283 | 305 | 92.79% |
| 2020-12-31 | 19 | 313 | 332 | 94.28% |
| 2019-12-31 | 18 | 317 | 335 | 94.63% |
| 2018-12-31 | 19 | 326 | 345 | 94.49% |
| 2017-12-31 | 15 | 335 | 350 | 95.71% |
| 2016-12-31 | 15 | 351 | 366 | 95.90% |
| 2015-12-31 | 13 | 438 | 451 | 97.12% |
| 2014-12-31 | 13 | 462 | 475 | 97.26% |
| 2013-12-31 | 13 | 539 | 552 | 97.64% |
| 2012-12-31 | 15 | 519 | 534 | 97.19% |
| 2011-12-31 | 16 | 555 | 571 | 97.20% |
| 2010-12-31 | 13 | 460 | 473 | 97.25% |
| 2009-12-31 | 8 | 355 | 363 | 97.80% |
| 2008-12-31 | 8 | 292 | 300 | 97.33% |
| 2007-12-31 | 10 | 319 | 329 | 96.96% |
| 2006-12-31 | 7 | 257 | 264 | 97.35% |
| 2005-12-31 | 7 | 175 | 182 | 96.15% |
| 2004-12-31 | 12 | 151 | 163 | 92.64% |
| 2003-12-31 | 12 | 136 | 148 | 91.89% |
| 2003-03-31 | 14 | 203 | 217 | 93.55% |
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