UBS SECURITIES ASIA 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 18 360 378 95.24%
2024-04-30 18 357 375 95.20%
2024-03-31 19 355 374 94.92%
2024-02-29 20 352 372 94.62%
2024-01-31 20 355 375 94.67%
2023-12-31 20 346 366 94.54%
2023-11-30 20 346 366 94.54%
2023-10-31 20 337 357 94.40%
2023-09-30 19 324 343 94.46%
2023-08-31 19 314 333 94.29%
2023-07-31 18 300 318 94.34%
2023-06-30 19 305 324 94.14%
2023-05-31 19 295 314 93.95%
2023-04-30 19 285 304 93.75%
2023-03-31 19 288 307 93.81%
2023-02-28 19 290 309 93.85%
2023-01-31 19 293 312 93.91%
2022-12-31 19 287 306 93.79%
2022-11-30 19 286 305 93.77%
2022-10-31 20 285 305 93.44%
2022-09-30 20 284 304 93.42%
2022-08-31 20 282 302 93.38%
2022-07-31 20 273 293 93.17%
2022-06-30 20 278 298 93.29%
2022-05-31 20 284 304 93.42%
2022-04-30 20 289 309 93.53%
2022-03-31 20 290 310 93.55%
2022-02-28 21 294 315 93.33%
2022-01-31 22 286 308 92.86%
2021-12-31 22 283 305 92.79%
2021-11-30 20 282 302 93.38%
2021-10-31 19 282 301 93.69%
2021-09-30 19 280 299 93.65%
2021-08-31 19 283 302 93.71%
2021-07-31 19 275 294 93.54%
2021-06-30 19 279 298 93.62%
2021-05-31 19 284 303 93.73%
2021-04-30 19 291 310 93.87%
2021-03-31 20 307 327 93.88%
2021-02-28 20 316 336 94.05%
2021-01-31 20 316 336 94.05%
2020-12-31 19 313 332 94.28%
2020-11-30 19 314 333 94.29%
2020-10-31 19 311 330 94.24%
2020-09-30 19 311 330 94.24%
2020-08-31 18 311 329 94.53%
2020-07-31 18 306 324 94.44%
2020-06-30 19 298 317 94.01%
2020-05-31 19 304 323 94.12%
2020-04-30 19 301 320 94.06%
2020-03-31 19 304 323 94.12%
2020-02-29 18 318 336 94.64%
2020-01-31 18 324 342 94.74%
2019-12-31 18 317 335 94.63%
2019-11-30 19 324 343 94.46%
2019-10-31 18 323 341 94.72%
2019-09-30 19 324 343 94.46%
2019-08-31 19 321 340 94.41%
2019-07-31 19 320 339 94.40%
2019-06-30 18 325 343 94.75%
2019-05-31 18 322 340 94.71%
2019-04-30 19 329 348 94.54%
2019-03-31 19 339 358 94.69%
2019-02-28 19 344 363 94.77%
2019-01-31 19 331 350 94.57%
2018-12-31 19 326 345 94.49%
2018-11-30 19 337 356 94.66%
2018-10-31 19 332 351 94.59%
2018-09-30 19 325 344 94.48%
2018-08-31 18 323 341 94.72%
2018-07-31 16 326 342 95.32%
2018-06-30 17 323 340 95.00%
2018-05-31 17 332 349 95.13%
2018-04-30 16 336 352 95.45%
2018-03-31 17 342 359 95.26%
2018-02-28 17 340 357 95.24%
2018-01-31 17 349 366 95.36%
2017-12-31 15 335 350 95.71%
2017-11-30 13 345 358 96.37%
2017-10-31 13 346 359 96.38%
2017-09-30 13 331 344 96.22%
2017-08-31 14 336 350 96.00%
2017-07-31 13 334 347 96.25%
2017-06-30 13 330 343 96.21%
2017-05-31 13 341 354 96.33%
2017-04-30 13 339 352 96.31%
2017-03-31 13 347 360 96.39%
2017-02-28 13 358 371 96.50%
2017-01-31 14 353 367 96.19%
2016-12-31 15 351 366 95.90%
2016-11-30 15 360 375 96.00%
2016-10-31 15 366 381 96.06%
2016-09-30 15 372 387 96.12%
2016-08-31 14 366 380 96.32%
2016-07-31 14 355 369 96.21%
2016-06-30 14 369 383 96.34%
2016-05-31 14 372 386 96.37%
2016-04-30 15 407 422 96.45%
2016-03-31 13 431 444 97.07%
2016-02-29 14 439 453 96.91%
2016-01-31 14 433 447 96.87%
2015-12-31 13 438 451 97.12%
2015-11-30 13 443 456 97.15%
2015-10-31 13 440 453 97.13%
2015-09-30 13 444 457 97.16%
2015-08-31 14 431 445 96.85%
2015-07-31 13 428 441 97.05%
2015-06-30 13 441 454 97.14%
2015-05-31 13 449 462 97.19%
2015-04-30 13 452 465 97.20%
2015-03-31 13 454 467 97.22%
2015-02-28 13 462 475 97.26%
2015-01-31 13 462 475 97.26%
2014-12-31 13 462 475 97.26%
2014-11-30 13 470 483 97.31%
2014-10-31 13 517 530 97.55%
2014-09-30 13 515 528 97.54%
2014-08-31 13 507 520 97.50%
2014-07-31 13 503 516 97.48%
2014-06-30 13 502 515 97.48%
2014-05-31 14 507 521 97.31%
2014-04-30 14 519 533 97.37%
2014-03-31 15 532 547 97.26%
2014-02-28 14 542 556 97.48%
2014-01-31 14 541 555 97.48%
2013-12-31 13 539 552 97.64%
2013-11-30 12 541 553 97.83%
2013-10-31 13 538 551 97.64%
2013-09-30 13 536 549 97.63%
2013-08-31 13 529 542 97.60%
2013-07-31 12 525 537 97.77%
2013-06-30 13 513 526 97.53%
2013-05-31 13 518 531 97.55%
2013-04-30 14 523 537 97.39%
2013-03-31 15 520 535 97.20%
2013-02-28 15 518 533 97.19%
2013-01-31 15 515 530 97.17%
2012-12-31 15 519 534 97.19%
2012-11-30 15 523 538 97.21%
2012-10-31 15 523 538 97.21%
2012-09-30 15 533 548 97.26%
2012-08-31 16 528 544 97.06%
2012-07-31 16 524 540 97.04%
2012-06-30 16 522 538 97.03%
2012-05-31 16 526 542 97.05%
2012-04-30 16 525 541 97.04%
2012-03-31 16 534 550 97.09%
2012-02-29 16 554 570 97.19%
2012-01-31 16 564 580 97.24%
2011-12-31 16 555 571 97.20%
2011-11-30 16 553 569 97.19%
2011-10-31 15 551 566 97.35%
2011-09-30 15 544 559 97.32%
2011-08-31 16 541 557 97.13%
2011-07-31 14 530 544 97.43%
2011-06-30 12 518 530 97.74%
2011-05-31 12 505 517 97.68%
2011-04-30 12 498 510 97.65%
2011-03-31 13 497 510 97.45%
2011-02-28 13 489 502 97.41%
2011-01-31 14 474 488 97.13%
2010-12-31 13 460 473 97.25%
2010-11-30 13 453 466 97.21%
2010-10-31 12 441 453 97.35%
2010-09-30 9 433 442 97.96%
2010-08-31 8 417 425 98.12%
2010-07-31 8 393 401 98.00%
2010-06-30 8 374 382 97.91%
2010-05-31 7 362 369 98.10%
2010-04-30 6 366 372 98.39%
2010-03-31 6 369 375 98.40%
2010-02-28 6 368 374 98.40%
2010-01-31 7 360 367 98.09%
2009-12-31 8 355 363 97.80%
2009-11-30 8 351 359 97.77%
2009-10-31 8 346 354 97.74%
2009-09-30 8 340 348 97.70%
2009-08-31 8 329 337 97.63%
2009-07-31 8 304 312 97.44%
2009-06-30 8 295 303 97.36%
2009-05-31 8 274 282 97.16%
2009-04-30 7 275 282 97.52%
2009-03-31 8 296 304 97.37%
2009-02-28 8 294 302 97.35%
2009-01-31 8 293 301 97.34%
2008-12-31 8 292 300 97.33%
2008-11-30 8 299 307 97.39%
2008-10-31 8 301 309 97.41%
2008-09-30 8 308 316 97.47%
2008-08-31 8 300 308 97.40%
2008-07-31 9 304 313 97.12%
2008-06-30 9 301 310 97.10%
2008-05-31 9 305 314 97.13%
2008-04-30 9 306 315 97.14%
2008-03-31 10 310 320 96.88%
2008-02-29 10 319 329 96.96%
2008-01-31 10 318 328 96.95%
2007-12-31 10 319 329 96.96%
2007-11-30 10 320 330 96.97%
2007-10-31 10 316 326 96.93%
2007-09-30 10 317 327 96.94%
2007-08-31 10 316 326 96.93%
2007-07-31 9 313 322 97.20%
2007-06-30 7 304 311 97.75%
2007-05-31 6 308 314 98.09%
2007-04-30 6 287 293 97.95%
2007-03-31 6 292 298 97.99%
2007-02-28 7 266 273 97.44%
2007-01-31 7 264 271 97.42%
2006-12-31 7 257 264 97.35%
2006-11-30 7 252 259 97.30%
2006-10-31 8 234 242 96.69%
2006-09-30 7 217 224 96.88%
2006-08-31 6 209 215 97.21%
2006-07-31 6 203 209 97.13%
2006-06-30 5 200 205 97.56%
2006-05-31 5 198 203 97.54%
2006-04-30 5 195 200 97.50%
2006-03-31 6 185 191 96.86%
2006-02-28 6 191 197 96.95%
2006-01-31 6 188 194 96.91%
2005-12-31 7 175 182 96.15%
2005-11-30 7 174 181 96.13%
2005-10-31 7 175 182 96.15%
2005-09-30 7 174 181 96.13%
2005-08-31 7 175 182 96.15%
2005-07-31 7 173 180 96.11%
2005-06-30 7 166 173 95.95%
2005-05-31 8 168 176 95.45%
2005-04-30 11 161 172 93.60%
2005-03-31 8 158 166 95.18%
2005-02-28 12 158 170 92.94%
2005-01-31 12 156 168 92.86%
2004-12-31 12 151 163 92.64%
2004-11-30 12 148 160 92.50%
2004-10-31 12 145 157 92.36%
2004-09-30 12 143 155 92.26%
2004-08-31 12 140 152 92.11%
2004-07-31 12 135 147 91.84%
2004-06-30 11 135 146 92.47%
2004-05-31 11 131 142 92.25%
2004-04-30 11 134 145 92.41%
2004-03-31 13 141 154 91.56%
2004-02-29 13 138 151 91.39%
2004-01-31 13 135 148 91.22%
2003-12-31 12 136 148 91.89%
2003-11-30 12 136 148 91.89%
2003-10-31 13 136 149 91.28%
2003-09-30 13 133 146 91.10%
2003-08-31 11 131 142 92.25%
2003-07-31 11 130 141 92.20%
2003-06-30 11 134 145 92.41%
2003-05-31 14 193 207 93.24%
2003-04-30 14 193 207 93.24%
2003-03-31 14 203 217 93.55%

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top