Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)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 |
|---|---|---|---|---|
| 2024-06-12 | 3 | 4 | 7 | 57.14% |
| 2024-05-31 | 3 | 4 | 7 | 57.14% |
| 2024-04-30 | 3 | 4 | 7 | 57.14% |
| 2024-03-31 | 3 | 4 | 7 | 57.14% |
| 2024-02-29 | 3 | 4 | 7 | 57.14% |
| 2024-01-31 | 3 | 4 | 7 | 57.14% |
| 2023-12-31 | 3 | 4 | 7 | 57.14% |
| 2023-11-30 | 3 | 4 | 7 | 57.14% |
| 2023-10-31 | 3 | 4 | 7 | 57.14% |
| 2023-09-30 | 3 | 4 | 7 | 57.14% |
| 2023-08-31 | 3 | 4 | 7 | 57.14% |
| 2023-07-31 | 3 | 4 | 7 | 57.14% |
| 2023-06-30 | 3 | 4 | 7 | 57.14% |
| 2023-05-31 | 3 | 4 | 7 | 57.14% |
| 2023-04-30 | 3 | 4 | 7 | 57.14% |
| 2023-03-31 | 3 | 4 | 7 | 57.14% |
| 2023-02-28 | 3 | 4 | 7 | 57.14% |
| 2023-01-31 | 3 | 4 | 7 | 57.14% |
| 2022-12-31 | 3 | 4 | 7 | 57.14% |
| 2022-11-30 | 3 | 4 | 7 | 57.14% |
| 2022-10-31 | 3 | 4 | 7 | 57.14% |
| 2022-09-30 | 3 | 4 | 7 | 57.14% |
| 2022-08-31 | 3 | 4 | 7 | 57.14% |
| 2022-07-31 | 3 | 3 | 6 | 50.00% |
| 2022-06-30 | 3 | 3 | 6 | 50.00% |
| 2022-05-31 | 3 | 4 | 7 | 57.14% |
| 2022-04-30 | 3 | 4 | 7 | 57.14% |
| 2022-03-31 | 3 | 4 | 7 | 57.14% |
| 2022-02-28 | 3 | 4 | 7 | 57.14% |
| 2022-01-31 | 3 | 4 | 7 | 57.14% |
| 2021-12-31 | 3 | 4 | 7 | 57.14% |
| 2021-11-30 | 3 | 4 | 7 | 57.14% |
| 2021-10-31 | 3 | 4 | 7 | 57.14% |
| 2021-09-30 | 4 | 4 | 8 | 50.00% |
| 2021-08-31 | 4 | 4 | 8 | 50.00% |
| 2021-07-31 | 4 | 6 | 10 | 60.00% |
| 2021-06-30 | 4 | 7 | 11 | 63.64% |
| 2021-05-31 | 4 | 7 | 11 | 63.64% |
| 2021-04-30 | 4 | 8 | 12 | 66.67% |
| 2021-03-31 | 4 | 7 | 11 | 63.64% |
| 2021-02-28 | 4 | 7 | 11 | 63.64% |
| 2021-01-31 | 4 | 7 | 11 | 63.64% |
| 2020-12-31 | 4 | 7 | 11 | 63.64% |
| 2020-11-30 | 4 | 7 | 11 | 63.64% |
| 2020-10-31 | 4 | 7 | 11 | 63.64% |
| 2020-09-30 | 4 | 7 | 11 | 63.64% |
| 2020-08-31 | 4 | 7 | 11 | 63.64% |
| 2020-07-31 | 4 | 7 | 11 | 63.64% |
| 2020-06-30 | 4 | 5 | 9 | 55.56% |
| 2020-05-31 | 4 | 5 | 9 | 55.56% |
| 2020-04-30 | 3 | 3 | 6 | 50.00% |
| 2020-03-31 | 3 | 3 | 6 | 50.00% |
| 2020-02-29 | 3 | 3 | 6 | 50.00% |
| 2020-01-31 | 2 | 3 | 5 | 60.00% |
| 2019-12-31 | 2 | 3 | 5 | 60.00% |
| 2019-11-30 | 2 | 3 | 5 | 60.00% |
| 2019-10-31 | 2 | 3 | 5 | 60.00% |
| 2019-09-30 | 2 | 3 | 5 | 60.00% |
| 2019-08-31 | 2 | 3 | 5 | 60.00% |
| 2019-07-31 | 2 | 4 | 6 | 66.67% |
| 2019-06-30 | 2 | 4 | 6 | 66.67% |
| 2019-05-31 | 2 | 4 | 6 | 66.67% |
| 2019-04-30 | 2 | 4 | 6 | 66.67% |
| 2019-03-31 | 2 | 4 | 6 | 66.67% |
| 2019-02-28 | 2 | 4 | 6 | 66.67% |
| 2019-01-31 | 2 | 4 | 6 | 66.67% |
| 2018-12-31 | 2 | 4 | 6 | 66.67% |
| 2018-11-30 | 2 | 4 | 6 | 66.67% |
| 2018-10-31 | 2 | 4 | 6 | 66.67% |
| 2018-09-30 | 2 | 4 | 6 | 66.67% |
| 2018-08-31 | 2 | 4 | 6 | 66.67% |
| 2018-07-31 | 2 | 4 | 6 | 66.67% |
| 2018-06-30 | 2 | 4 | 6 | 66.67% |
| 2018-05-31 | 2 | 4 | 6 | 66.67% |
| 2018-04-30 | 2 | 4 | 6 | 66.67% |
| 2018-03-31 | 3 | 4 | 7 | 57.14% |
| 2018-02-28 | 3 | 4 | 7 | 57.14% |
| 2018-01-31 | 3 | 4 | 7 | 57.14% |
| 2017-12-31 | 3 | 4 | 7 | 57.14% |
| 2017-11-30 | 3 | 4 | 7 | 57.14% |
| 2017-10-31 | 3 | 4 | 7 | 57.14% |
| 2017-09-30 | 3 | 4 | 7 | 57.14% |
| 2017-08-31 | 3 | 4 | 7 | 57.14% |
| 2017-07-31 | 3 | 4 | 7 | 57.14% |
| 2017-06-30 | 3 | 4 | 7 | 57.14% |
| 2017-05-31 | 3 | 4 | 7 | 57.14% |
| 2017-04-30 | 3 | 4 | 7 | 57.14% |
| 2017-03-31 | 3 | 4 | 7 | 57.14% |
| 2017-02-28 | 3 | 4 | 7 | 57.14% |
| 2017-01-31 | 3 | 4 | 7 | 57.14% |
| 2016-12-31 | 3 | 4 | 7 | 57.14% |
| 2016-11-30 | 3 | 4 | 7 | 57.14% |
| 2016-10-31 | 3 | 4 | 7 | 57.14% |
| 2016-09-30 | 3 | 4 | 7 | 57.14% |
| 2016-08-31 | 3 | 4 | 7 | 57.14% |
| 2016-07-31 | 3 | 4 | 7 | 57.14% |
| 2016-06-30 | 3 | 4 | 7 | 57.14% |
| 2016-05-31 | 3 | 4 | 7 | 57.14% |
| 2016-04-30 | 3 | 4 | 7 | 57.14% |
| 2016-03-31 | 4 | 4 | 8 | 50.00% |
| 2016-02-29 | 3 | 4 | 7 | 57.14% |
| 2016-01-31 | 4 | 4 | 8 | 50.00% |
| 2015-12-31 | 4 | 5 | 9 | 55.56% |
| 2015-11-30 | 5 | 23 | 28 | 82.14% |
| 2015-10-31 | 5 | 23 | 28 | 82.14% |
| 2015-09-30 | 5 | 25 | 30 | 83.33% |
| 2015-08-31 | 5 | 25 | 30 | 83.33% |
| 2015-07-31 | 5 | 25 | 30 | 83.33% |
| 2015-06-30 | 5 | 25 | 30 | 83.33% |
| 2015-05-31 | 5 | 25 | 30 | 83.33% |
| 2015-04-30 | 5 | 25 | 30 | 83.33% |
| 2015-03-31 | 5 | 27 | 32 | 84.38% |
| 2015-02-28 | 5 | 29 | 34 | 85.29% |
| 2015-01-31 | 5 | 30 | 35 | 85.71% |
| 2014-12-31 | 5 | 30 | 35 | 85.71% |
| 2014-11-30 | 5 | 31 | 36 | 86.11% |
| 2014-10-31 | 5 | 31 | 36 | 86.11% |
| 2014-09-30 | 5 | 31 | 36 | 86.11% |
| 2014-08-31 | 5 | 32 | 37 | 86.49% |
| 2014-07-31 | 5 | 35 | 40 | 87.50% |
| 2014-06-30 | 5 | 35 | 40 | 87.50% |
| 2014-05-31 | 5 | 36 | 41 | 87.80% |
| 2014-04-30 | 5 | 37 | 42 | 88.10% |
| 2014-03-31 | 5 | 40 | 45 | 88.89% |
| 2014-02-28 | 5 | 41 | 46 | 89.13% |
| 2014-01-31 | 5 | 42 | 47 | 89.36% |
| 2013-12-31 | 5 | 44 | 49 | 89.80% |
| 2013-11-30 | 5 | 49 | 54 | 90.74% |
| 2013-10-31 | 5 | 53 | 58 | 91.38% |
| 2013-09-30 | 5 | 58 | 63 | 92.06% |
| 2013-08-31 | 5 | 70 | 75 | 93.33% |
| 2013-07-31 | 5 | 81 | 86 | 94.19% |
| 2013-06-30 | 5 | 82 | 87 | 94.25% |
| 2013-05-31 | 6 | 82 | 88 | 93.18% |
| 2013-04-30 | 6 | 90 | 96 | 93.75% |
| 2013-03-31 | 8 | 116 | 124 | 93.55% |
| 2013-02-28 | 8 | 122 | 130 | 93.85% |
| 2013-01-31 | 9 | 124 | 133 | 93.23% |
| 2012-12-31 | 9 | 124 | 133 | 93.23% |
| 2012-11-30 | 9 | 130 | 139 | 93.53% |
| 2012-10-31 | 9 | 135 | 144 | 93.75% |
| 2012-09-30 | 9 | 136 | 145 | 93.79% |
| 2012-08-31 | 9 | 144 | 153 | 94.12% |
| 2012-07-31 | 10 | 159 | 169 | 94.08% |
| 2012-06-30 | 10 | 163 | 173 | 94.22% |
| 2012-05-31 | 10 | 177 | 187 | 94.65% |
| 2012-04-30 | 10 | 179 | 189 | 94.71% |
| 2012-03-31 | 9 | 178 | 187 | 95.19% |
| 2012-02-29 | 10 | 180 | 190 | 94.74% |
| 2012-01-31 | 12 | 178 | 190 | 93.68% |
| 2011-12-31 | 11 | 183 | 194 | 94.33% |
| 2011-11-30 | 12 | 191 | 203 | 94.09% |
| 2011-10-31 | 12 | 188 | 200 | 94.00% |
| 2011-09-30 | 13 | 187 | 200 | 93.50% |
| 2011-08-31 | 13 | 188 | 201 | 93.53% |
| 2011-07-31 | 14 | 190 | 204 | 93.14% |
| 2011-06-30 | 16 | 198 | 214 | 92.52% |
| 2011-05-31 | 17 | 203 | 220 | 92.27% |
| 2011-04-30 | 17 | 207 | 224 | 92.41% |
| 2011-03-31 | 18 | 209 | 227 | 92.07% |
| 2011-02-28 | 16 | 197 | 213 | 92.49% |
| 2011-01-31 | 16 | 193 | 209 | 92.34% |
| 2010-12-31 | 16 | 189 | 205 | 92.20% |
| 2010-11-30 | 15 | 188 | 203 | 92.61% |
| 2010-10-31 | 13 | 180 | 193 | 93.26% |
| 2010-09-30 | 12 | 181 | 193 | 93.78% |
| 2010-08-31 | 11 | 182 | 193 | 94.30% |
| 2010-07-31 | 11 | 173 | 184 | 94.02% |
| 2010-06-30 | 13 | 177 | 190 | 93.16% |
| 2010-05-31 | 14 | 177 | 191 | 92.67% |
| 2010-04-30 | 14 | 170 | 184 | 92.39% |
| 2010-03-31 | 14 | 174 | 188 | 92.55% |
| 2010-02-28 | 11 | 173 | 184 | 94.02% |
| 2010-01-31 | 11 | 162 | 173 | 93.64% |
| 2009-12-31 | 11 | 155 | 166 | 93.37% |
| 2009-11-30 | 11 | 140 | 151 | 92.72% |
| 2009-10-31 | 11 | 131 | 142 | 92.25% |
| 2009-09-30 | 10 | 132 | 142 | 92.96% |
| 2009-08-31 | 11 | 129 | 140 | 92.14% |
| 2009-07-31 | 11 | 124 | 135 | 91.85% |
| 2009-06-30 | 11 | 124 | 135 | 91.85% |
| 2009-05-31 | 11 | 123 | 134 | 91.79% |
| 2009-04-30 | 10 | 119 | 129 | 92.25% |
| 2009-03-31 | 10 | 114 | 124 | 91.94% |
| 2009-02-28 | 10 | 101 | 111 | 90.99% |
| 2009-01-31 | 10 | 92 | 102 | 90.20% |
| 2008-12-31 | 11 | 87 | 98 | 88.78% |
| 2008-11-30 | 11 | 86 | 97 | 88.66% |
| 2008-10-31 | 11 | 84 | 95 | 88.42% |
| 2008-09-30 | 11 | 83 | 94 | 88.30% |
| 2008-08-31 | 12 | 80 | 92 | 86.96% |
| 2008-07-31 | 12 | 76 | 88 | 86.36% |
| 2008-06-30 | 10 | 75 | 85 | 88.24% |
| 2008-05-31 | 10 | 70 | 80 | 87.50% |
| 2008-04-30 | 10 | 68 | 78 | 87.18% |
| 2008-03-31 | 11 | 68 | 79 | 86.08% |
| 2008-02-29 | 11 | 64 | 75 | 85.33% |
| 2008-01-31 | 10 | 65 | 75 | 86.67% |
| 2007-12-31 | 10 | 63 | 73 | 86.30% |
| 2007-11-30 | 10 | 62 | 72 | 86.11% |
| 2007-10-31 | 10 | 65 | 75 | 86.67% |
| 2007-09-30 | 10 | 68 | 78 | 87.18% |
| 2007-08-31 | 10 | 67 | 77 | 87.01% |
| 2007-07-31 | 11 | 65 | 76 | 85.53% |
| 2007-06-30 | 11 | 67 | 78 | 85.90% |
| 2007-05-31 | 11 | 66 | 77 | 85.71% |
| 2007-04-30 | 10 | 64 | 74 | 86.49% |
| 2007-03-31 | 10 | 61 | 71 | 85.92% |
| 2007-02-28 | 11 | 61 | 72 | 84.72% |
| 2007-01-31 | 11 | 63 | 74 | 85.14% |
| 2006-12-31 | 12 | 61 | 73 | 83.56% |
| 2006-11-30 | 12 | 60 | 72 | 83.33% |
| 2006-10-31 | 10 | 66 | 76 | 86.84% |
| 2006-09-30 | 10 | 66 | 76 | 86.84% |
| 2006-08-31 | 10 | 66 | 76 | 86.84% |
| 2006-07-31 | 11 | 64 | 75 | 85.33% |
| 2006-06-30 | 10 | 65 | 75 | 86.67% |
| 2006-05-31 | 10 | 65 | 75 | 86.67% |
| 2006-04-30 | 10 | 59 | 69 | 85.51% |
| 2006-03-31 | 10 | 59 | 69 | 85.51% |
| 2006-02-28 | 10 | 54 | 64 | 84.38% |
| 2006-01-31 | 10 | 55 | 65 | 84.62% |
| 2005-12-31 | 10 | 55 | 65 | 84.62% |
| 2005-11-30 | 9 | 54 | 63 | 85.71% |
| 2005-10-31 | 9 | 53 | 62 | 85.48% |
| 2005-09-30 | 10 | 52 | 62 | 83.87% |
| 2005-08-31 | 9 | 50 | 59 | 84.75% |
| 2005-07-31 | 9 | 46 | 55 | 83.64% |
| 2005-06-30 | 9 | 41 | 50 | 82.00% |
| 2005-05-31 | 8 | 42 | 50 | 84.00% |
| 2005-04-30 | 8 | 40 | 48 | 83.33% |
| 2005-03-31 | 8 | 31 | 39 | 79.49% |
| 2005-02-28 | 10 | 31 | 41 | 75.61% |
| 2005-01-31 | 10 | 31 | 41 | 75.61% |
| 2004-12-31 | 10 | 29 | 39 | 74.36% |
| 2004-11-30 | 11 | 26 | 37 | 70.27% |
| 2004-10-31 | 12 | 24 | 36 | 66.67% |
| 2004-09-30 | 12 | 24 | 36 | 66.67% |
| 2004-08-31 | 12 | 24 | 36 | 66.67% |
| 2004-07-31 | 10 | 25 | 35 | 71.43% |
| 2004-06-30 | 9 | 26 | 35 | 74.29% |
| 2004-05-31 | 10 | 22 | 32 | 68.75% |
| 2004-04-30 | 8 | 22 | 30 | 73.33% |
| 2004-03-31 | 8 | 23 | 31 | 74.19% |
| 2004-02-29 | 10 | 20 | 30 | 66.67% |
| 2004-01-31 | 10 | 18 | 28 | 64.29% |
| 2003-12-31 | 10 | 18 | 28 | 64.29% |
| 2003-11-30 | 9 | 17 | 26 | 65.38% |
| 2003-10-31 | 9 | 17 | 26 | 65.38% |
| 2003-09-30 | 9 | 16 | 25 | 64.00% |
| 2003-08-31 | 9 | 13 | 22 | 59.09% |
| 2003-07-31 | 7 | 13 | 20 | 65.00% |
| 2003-06-30 | 7 | 12 | 19 | 63.16% |
| 2003-05-31 | 7 | 12 | 19 | 63.16% |
| 2003-04-30 | 7 | 13 | 20 | 65.00% |
| 2003-03-31 | 8 | 13 | 21 | 61.90% |
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