CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司

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
2024-06-12 10 147 157 93.63%
2024-05-31 10 142 152 93.42%
2024-04-30 10 136 146 93.15%
2024-03-31 10 136 146 93.15%
2024-02-29 10 134 144 93.06%
2024-01-31 10 133 143 93.01%
2023-12-31 9 132 141 93.62%
2023-11-30 9 132 141 93.62%
2023-10-31 8 131 139 94.24%
2023-09-30 8 132 140 94.29%
2023-08-31 8 132 140 94.29%
2023-07-31 9 132 141 93.62%
2023-06-30 9 131 140 93.57%
2023-05-31 9 133 142 93.66%
2023-04-30 9 133 142 93.66%
2023-03-31 9 134 143 93.71%
2023-02-28 9 131 140 93.57%
2023-01-31 9 130 139 93.53%
2022-12-31 9 126 135 93.33%
2022-11-30 8 126 134 94.03%
2022-10-31 7 126 133 94.74%
2022-09-30 7 128 135 94.81%
2022-08-31 7 126 133 94.74%
2022-07-31 7 126 133 94.74%
2022-06-30 7 126 133 94.74%
2022-05-31 7 126 133 94.74%
2022-04-30 7 126 133 94.74%
2022-03-31 7 125 132 94.70%
2022-02-28 7 123 130 94.62%
2022-01-31 7 121 128 94.53%
2021-12-31 7 121 128 94.53%
2021-11-30 7 118 125 94.40%
2021-10-31 7 118 125 94.40%
2021-09-30 7 113 120 94.17%
2021-08-31 7 112 119 94.12%
2021-07-31 7 114 121 94.21%
2021-06-30 7 116 123 94.31%
2021-05-31 7 118 125 94.40%
2021-04-30 7 117 124 94.35%
2021-03-31 7 115 122 94.26%
2021-02-28 6 112 118 94.92%
2021-01-31 6 109 115 94.78%
2020-12-31 6 105 111 94.59%
2020-11-30 6 105 111 94.59%
2020-10-31 6 104 110 94.55%
2020-09-30 6 102 108 94.44%
2020-08-31 6 98 104 94.23%
2020-07-31 5 98 103 95.15%
2020-06-30 5 99 104 95.19%
2020-05-31 5 101 106 95.28%
2020-04-30 5 99 104 95.19%
2020-03-31 5 99 104 95.19%
2020-02-29 5 99 104 95.19%
2020-01-31 6 98 104 94.23%
2019-12-31 6 96 102 94.12%
2019-11-30 6 92 98 93.88%
2019-10-31 6 91 97 93.81%
2019-09-30 6 92 98 93.88%
2019-08-31 6 92 98 93.88%
2019-07-31 6 94 100 94.00%
2019-06-30 6 94 100 94.00%
2019-05-31 7 95 102 93.14%
2019-04-30 7 92 99 92.93%
2019-03-31 7 89 96 92.71%
2019-02-28 7 89 96 92.71%
2019-01-31 7 87 94 92.55%
2018-12-31 7 86 93 92.47%
2018-11-30 6 87 93 93.55%
2018-10-31 6 87 93 93.55%
2018-09-30 6 85 91 93.41%
2018-08-31 6 88 94 93.62%
2018-07-31 5 87 92 94.57%
2018-06-30 5 84 89 94.38%
2018-05-31 5 89 94 94.68%
2018-04-30 5 88 93 94.62%
2018-03-31 5 88 93 94.62%
2018-02-28 5 87 92 94.57%
2018-01-31 5 85 90 94.44%
2017-12-31 6 87 93 93.55%
2017-11-30 6 86 92 93.48%
2017-10-31 6 86 92 93.48%
2017-09-30 5 86 91 94.51%
2017-08-31 6 86 92 93.48%
2017-07-31 8 84 92 91.30%
2017-06-30 7 90 97 92.78%
2017-05-31 7 114 121 94.21%
2017-04-30 7 116 123 94.31%
2017-03-31 7 114 121 94.21%
2017-02-28 7 114 121 94.21%
2017-01-31 7 113 120 94.17%
2016-12-31 7 112 119 94.12%
2016-11-30 7 115 122 94.26%
2016-10-31 7 115 122 94.26%
2016-09-30 6 116 122 95.08%
2016-08-31 4 118 122 96.72%
2016-07-31 4 118 122 96.72%
2016-06-30 4 117 121 96.69%
2016-05-31 4 115 119 96.64%
2016-04-30 4 118 122 96.72%
2016-03-31 4 117 121 96.69%
2016-02-29 4 116 120 96.67%
2016-01-31 4 113 117 96.58%
2015-12-31 4 115 119 96.64%
2015-11-30 4 114 118 96.61%
2015-10-31 4 116 120 96.67%
2015-09-30 6 114 120 95.00%
2015-08-31 6 116 122 95.08%
2015-07-31 7 116 123 94.31%
2015-06-30 7 114 121 94.21%
2015-05-31 7 115 122 94.26%
2015-04-30 7 118 125 94.40%
2015-03-31 7 118 125 94.40%
2015-02-28 7 117 124 94.35%
2015-01-31 7 119 126 94.44%
2014-12-31 7 117 124 94.35%
2014-11-30 7 118 125 94.40%
2014-10-31 6 117 123 95.12%
2014-09-30 6 117 123 95.12%
2014-08-31 7 116 123 94.31%
2014-07-31 7 118 125 94.40%
2014-06-30 7 120 127 94.49%
2014-05-31 7 118 125 94.40%
2014-04-30 8 118 126 93.65%
2014-03-31 9 117 126 92.86%
2014-02-28 9 115 124 92.74%
2014-01-31 9 113 122 92.62%
2013-12-31 9 106 115 92.17%
2013-11-30 9 107 116 92.24%
2013-10-31 9 106 115 92.17%
2013-09-30 9 106 115 92.17%
2013-08-31 10 109 119 91.60%
2013-07-31 10 108 118 91.53%
2013-06-30 10 107 117 91.45%
2013-05-31 10 101 111 90.99%
2013-04-30 10 100 110 90.91%
2013-03-31 10 98 108 90.74%
2013-02-28 10 93 103 90.29%
2013-01-31 10 93 103 90.29%
2012-12-31 10 93 103 90.29%
2012-11-30 10 93 103 90.29%
2012-10-31 10 90 100 90.00%
2012-09-30 10 95 105 90.48%
2012-08-31 10 92 102 90.20%
2012-07-31 10 92 102 90.20%
2012-06-30 12 94 106 88.68%
2012-05-31 12 94 106 88.68%
2012-04-30 11 93 104 89.42%
2012-03-31 11 91 102 89.22%
2012-02-29 11 92 103 89.32%
2012-01-31 11 92 103 89.32%
2011-12-31 11 91 102 89.22%
2011-11-30 10 90 100 90.00%
2011-10-31 10 87 97 89.69%
2011-09-30 10 87 97 89.69%
2011-08-31 11 86 97 88.66%
2011-07-31 9 85 94 90.43%
2011-06-30 9 87 96 90.63%
2011-05-31 8 85 93 91.40%
2011-04-30 8 85 93 91.40%
2011-03-31 8 85 93 91.40%
2011-02-28 8 86 94 91.49%
2011-01-31 8 83 91 91.21%
2010-12-31 8 82 90 91.11%
2010-11-30 8 83 91 91.21%
2010-10-31 8 87 95 91.58%
2010-09-30 7 89 96 92.71%
2010-08-31 7 87 94 92.55%
2010-07-31 7 87 94 92.55%
2010-06-30 8 89 97 91.75%
2010-05-31 8 89 97 91.75%
2010-04-30 8 93 101 92.08%
2010-03-31 7 92 99 92.93%
2010-02-28 7 90 97 92.78%
2010-01-31 7 89 96 92.71%
2009-12-31 7 90 97 92.78%
2009-11-30 7 88 95 92.63%
2009-10-31 7 92 99 92.93%
2009-09-30 7 91 98 92.86%
2009-08-31 7 91 98 92.86%
2009-07-31 7 94 101 93.07%
2009-06-30 7 93 100 93.00%
2009-05-31 7 91 98 92.86%
2009-04-30 8 91 99 91.92%
2009-03-31 8 91 99 91.92%
2009-02-28 8 90 98 91.84%
2009-01-31 8 89 97 91.75%
2008-12-31 8 93 101 92.08%
2008-11-30 8 101 109 92.66%
2008-10-31 8 102 110 92.73%
2008-09-30 8 103 111 92.79%
2008-08-31 8 103 111 92.79%
2008-07-31 8 103 111 92.79%
2008-06-30 7 101 108 93.52%
2008-05-31 7 100 107 93.46%
2008-04-30 7 102 109 93.58%
2008-03-31 7 101 108 93.52%
2008-02-29 7 100 107 93.46%
2008-01-31 7 101 108 93.52%
2007-12-31 7 100 107 93.46%
2007-11-30 7 97 104 93.27%
2007-10-31 6 99 105 94.29%
2007-09-30 6 94 100 94.00%
2007-08-31 6 90 96 93.75%
2007-07-31 6 88 94 93.62%
2007-06-30 6 87 93 93.55%
2007-05-31 6 87 93 93.55%
2007-04-30 6 88 94 93.62%
2007-03-31 6 88 94 93.62%
2007-02-28 5 88 93 94.62%
2007-01-31 4 89 93 95.70%
2006-12-31 4 90 94 95.74%
2006-11-30 4 87 91 95.60%
2006-10-31 4 87 91 95.60%
2006-09-30 4 87 91 95.60%
2006-08-31 4 88 92 95.65%
2006-07-31 4 89 93 95.70%
2006-06-30 4 90 94 95.74%
2006-05-31 4 92 96 95.83%
2006-04-30 4 91 95 95.79%
2006-03-31 5 90 95 94.74%
2006-02-28 5 91 96 94.79%
2006-01-31 5 94 99 94.95%
2005-12-31 5 94 99 94.95%
2005-11-30 5 95 100 95.00%
2005-10-31 5 98 103 95.15%
2005-09-30 5 99 104 95.19%
2005-08-31 5 103 108 95.37%
2005-07-31 5 103 108 95.37%
2005-06-30 5 102 107 95.33%
2005-05-31 5 103 108 95.37%
2005-04-30 5 99 104 95.19%
2005-03-31 5 100 105 95.24%
2005-02-28 5 97 102 95.10%
2005-01-31 5 96 101 95.05%
2004-12-31 5 96 101 95.05%
2004-11-30 5 95 100 95.00%
2004-10-31 5 91 96 94.79%
2004-09-30 5 92 97 94.85%
2004-08-31 5 90 95 94.74%
2004-07-31 3 90 93 96.77%
2004-06-30 3 90 93 96.77%
2004-05-31 5 87 92 94.57%
2004-04-30 5 77 82 93.90%
2004-03-31 5 73 78 93.59%
2004-02-29 5 60 65 92.31%
2004-01-31 5 56 61 91.80%
2003-12-31 5 50 55 90.91%
2003-11-30 5 48 53 90.57%
2003-10-31 4 46 50 92.00%
2003-09-30 4 38 42 90.48%
2003-08-31 5 34 39 87.18%
2003-07-31 3 35 38 92.11%
2003-06-30 1 30 31 96.77%
2003-05-31 1 20 21 95.24%
2003-04-30 1 19 20 95.00%
2003-03-31 1 19 20 95.00%

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