SFC licensees per firm

This page shows the number of SFC licensees for each firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). We treat a person who holds both roles (in different categories of license) as an RO. "Reps v total" is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. We query the SFC database online and update the tables regularly. Note that licensees are not necessarily full-time employees and may have roles in more than 1 firm. As always, click on the column headings to sort up or down. To go back in time, pick a date (1-Apr-2003 or later) in the box below. We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions. So much for a level playing field between banks and SFC-licensed firms.