UBS Asset Management (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 |
|---|---|---|---|---|
| 2024-05-03 | 12 | 60 | 72 | 83.33% |
| 2023-12-31 | 12 | 55 | 67 | 82.09% |
| 2022-12-31 | 9 | 51 | 60 | 85.00% |
| 2021-12-31 | 12 | 48 | 60 | 80.00% |
| 2020-12-31 | 11 | 51 | 62 | 82.26% |
| 2019-12-31 | 7 | 57 | 64 | 89.06% |
| 2018-12-31 | 9 | 66 | 75 | 88.00% |
| 2017-12-31 | 8 | 77 | 85 | 90.59% |
| 2016-12-31 | 10 | 74 | 84 | 88.10% |
| 2015-12-31 | 10 | 61 | 71 | 85.92% |
| 2014-12-31 | 10 | 50 | 60 | 83.33% |
| 2013-12-31 | 6 | 46 | 52 | 88.46% |
| 2012-12-31 | 6 | 45 | 51 | 88.24% |
| 2011-12-31 | 5 | 39 | 44 | 88.64% |
| 2010-12-31 | 7 | 32 | 39 | 82.05% |
| 2009-12-31 | 6 | 25 | 31 | 80.65% |
| 2008-12-31 | 7 | 28 | 35 | 80.00% |
| 2007-12-31 | 7 | 26 | 33 | 78.79% |
| 2006-12-31 | 7 | 22 | 29 | 75.86% |
| 2005-12-31 | 4 | 14 | 18 | 77.78% |
| 2004-12-31 | 3 | 6 | 9 | 66.67% |
| 2003-12-31 | 3 | 2 | 5 | 40.00% |
| 2003-03-31 | 2 | 5 | 7 | 71.43% |
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