UCAP Securities (HK) Limited 佑聯證券有限公司

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
2024-06-09 2 9 11 81.82%
2024-05-31 2 9 11 81.82%
2024-04-30 2 9 11 81.82%
2024-03-31 2 10 12 83.33%
2024-02-29 2 10 12 83.33%
2024-01-31 2 11 13 84.62%
2023-12-31 2 11 13 84.62%
2023-11-30 2 11 13 84.62%
2023-10-31 2 11 13 84.62%
2023-09-30 2 12 14 85.71%
2023-08-31 2 12 14 85.71%
2023-07-31 2 12 14 85.71%
2023-06-30 2 12 14 85.71%
2023-05-31 2 12 14 85.71%
2023-04-30 2 12 14 85.71%
2023-03-31 2 12 14 85.71%
2023-02-28 2 12 14 85.71%
2023-01-31 2 14 16 87.50%
2022-12-31 2 14 16 87.50%
2022-11-30 2 14 16 87.50%
2022-10-31 2 14 16 87.50%
2022-09-30 2 14 16 87.50%
2022-08-31 2 14 16 87.50%
2022-07-31 2 15 17 88.24%
2022-06-30 2 14 16 87.50%
2022-05-31 2 15 17 88.24%
2022-04-30 2 15 17 88.24%
2022-03-31 2 15 17 88.24%
2022-02-28 2 14 16 87.50%
2022-01-31 2 15 17 88.24%
2021-12-31 2 15 17 88.24%
2021-11-30 2 15 17 88.24%
2021-10-31 2 14 16 87.50%
2021-09-30 2 15 17 88.24%
2021-08-31 2 15 17 88.24%
2021-07-31 2 17 19 89.47%
2021-06-30 2 16 18 88.89%
2021-05-31 2 15 17 88.24%
2021-04-30 3 13 16 81.25%
2021-03-31 2 12 14 85.71%
2021-02-28 2 12 14 85.71%
2021-01-31 2 10 12 83.33%
2020-12-31 2 8 10 80.00%
2020-11-30 2 8 10 80.00%
2020-10-31 2 6 8 75.00%
2020-09-30 2 3 5 60.00%
2020-08-31 2 0 2 0.00%
2020-07-31 0 0 0 0.00%

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