CLSA RESEARCH LIMITED 里昂證券投資研究有限公司
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 |
|---|---|---|---|---|
| 2024-05-10 | 0 | 0 | 0 | 0.00% |
| 2023-12-31 | 0 | 0 | 0 | 0.00% |
| 2022-12-31 | 0 | 0 | 0 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
| 2020-12-31 | 0 | 0 | 0 | 0.00% |
| 2019-12-31 | 0 | 0 | 0 | 0.00% |
| 2018-12-31 | 0 | 0 | 0 | 0.00% |
| 2017-12-31 | 0 | 0 | 0 | 0.00% |
| 2016-12-31 | 0 | 0 | 0 | 0.00% |
| 2015-12-31 | 0 | 0 | 0 | 0.00% |
| 2014-12-31 | 0 | 0 | 0 | 0.00% |
| 2013-12-31 | 2 | 0 | 2 | 0.00% |
| 2012-12-31 | 3 | 1 | 4 | 25.00% |
| 2011-12-31 | 3 | 137 | 140 | 97.86% |
| 2010-12-31 | 3 | 132 | 135 | 97.78% |
| 2009-12-31 | 3 | 120 | 123 | 97.56% |
| 2008-12-31 | 2 | 116 | 118 | 98.31% |
| 2007-12-31 | 2 | 104 | 106 | 98.11% |
| 2006-12-31 | 2 | 38 | 40 | 95.00% |
| 2005-12-31 | 2 | 41 | 43 | 95.35% |
| 2004-12-31 | 2 | 39 | 41 | 95.12% |
| 2003-12-31 | 2 | 34 | 36 | 94.44% |
| 2003-03-31 | 2 | 28 | 30 | 93.33% |
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