FIRST SHANGHAI SECURITIES LIMITED 第一上海證券有限公司
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 | 15 | 63 | 78 | 80.77% |
| 2023-12-31 | 15 | 66 | 81 | 81.48% |
| 2022-12-31 | 11 | 63 | 74 | 85.14% |
| 2021-12-31 | 14 | 69 | 83 | 83.13% |
| 2020-12-31 | 12 | 73 | 85 | 85.88% |
| 2019-12-31 | 12 | 75 | 87 | 86.21% |
| 2018-12-31 | 11 | 74 | 85 | 87.06% |
| 2017-12-31 | 10 | 70 | 80 | 87.50% |
| 2016-12-31 | 9 | 66 | 75 | 88.00% |
| 2015-12-31 | 8 | 67 | 75 | 89.33% |
| 2014-12-31 | 8 | 61 | 69 | 88.41% |
| 2013-12-31 | 7 | 58 | 65 | 89.23% |
| 2012-12-31 | 7 | 57 | 64 | 89.06% |
| 2011-12-31 | 5 | 58 | 63 | 92.06% |
| 2010-12-31 | 4 | 59 | 63 | 93.65% |
| 2009-12-31 | 5 | 60 | 65 | 92.31% |
| 2008-12-31 | 5 | 62 | 67 | 92.54% |
| 2007-12-31 | 5 | 42 | 47 | 89.36% |
| 2006-12-31 | 5 | 39 | 44 | 88.64% |
| 2005-12-31 | 5 | 35 | 40 | 87.50% |
| 2004-12-31 | 5 | 37 | 42 | 88.10% |
| 2003-12-31 | 4 | 34 | 38 | 89.47% |
| 2003-03-31 | 4 | 26 | 30 | 86.67% |
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