UBS SECURITIES ASIA LIMITED

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
2025-06-29 17 361 378 95.50%
2025-05-31 17 378 395 95.70%
2025-04-30 18 365 383 95.30%
2025-03-31 19 374 393 95.17%
2025-02-28 19 375 394 95.18%
2025-01-31 20 364 384 94.79%
2024-12-31 20 366 386 94.82%
2024-11-30 20 380 400 95.00%
2024-10-31 20 380 400 95.00%
2024-09-30 17 367 384 95.57%
2024-08-31 18 359 377 95.23%
2024-07-31 19 360 379 94.99%
2024-06-30 18 351 369 95.12%
2024-05-31 18 372 390 95.38%
2024-04-30 18 356 374 95.19%
2024-03-31 19 354 373 94.91%
2024-02-29 20 351 371 94.61%
2024-01-31 20 354 374 94.65%
2023-12-31 20 345 365 94.52%
2023-11-30 20 345 365 94.52%
2023-10-31 20 336 356 94.38%
2023-09-30 19 323 342 94.44%
2023-08-31 19 313 332 94.28%
2023-07-31 18 300 318 94.34%
2023-06-30 19 307 326 94.17%
2023-05-31 19 294 313 93.93%
2023-04-30 19 284 303 93.73%
2023-03-31 19 287 306 93.79%
2023-02-28 19 289 308 93.83%
2023-01-31 19 292 311 93.89%
2022-12-31 19 286 305 93.77%
2022-11-30 19 285 304 93.75%
2022-10-31 20 284 304 93.42%
2022-09-30 20 283 303 93.40%
2022-08-31 20 281 301 93.36%
2022-07-31 20 272 292 93.15%
2022-06-30 20 277 297 93.27%
2022-05-31 20 283 303 93.40%
2022-04-30 20 288 308 93.51%
2022-03-31 20 289 309 93.53%
2022-02-28 21 293 314 93.31%
2022-01-31 22 285 307 92.83%
2021-12-31 22 282 304 92.76%
2021-11-30 20 281 301 93.36%
2021-10-31 19 281 300 93.67%
2021-09-30 19 279 298 93.62%
2021-08-31 19 282 301 93.69%
2021-07-31 19 274 293 93.52%
2021-06-30 19 278 297 93.60%
2021-05-31 19 283 302 93.71%
2021-04-30 19 290 309 93.85%
2021-03-31 20 306 326 93.87%
2021-02-28 20 315 335 94.03%
2021-01-31 20 315 335 94.03%
2020-12-31 19 312 331 94.26%
2020-11-30 19 313 332 94.28%
2020-10-31 19 310 329 94.22%
2020-09-30 19 310 329 94.22%
2020-08-31 18 310 328 94.51%
2020-07-31 18 305 323 94.43%
2020-06-30 19 297 316 93.99%
2020-05-31 19 303 322 94.10%
2020-04-30 19 300 319 94.04%
2020-03-31 19 303 322 94.10%
2020-02-29 18 317 335 94.63%
2020-01-31 18 323 341 94.72%
2019-12-31 18 316 334 94.61%
2019-11-30 19 323 342 94.44%
2019-10-31 18 322 340 94.71%
2019-09-30 19 323 342 94.44%
2019-08-31 19 320 339 94.40%
2019-07-31 19 319 338 94.38%
2019-06-30 18 324 342 94.74%
2019-05-31 18 321 339 94.69%
2019-04-30 19 328 347 94.52%
2019-03-31 19 338 357 94.68%
2019-02-28 19 343 362 94.75%
2019-01-31 19 330 349 94.56%
2018-12-31 19 325 344 94.48%
2018-11-30 19 336 355 94.65%
2018-10-31 19 331 350 94.57%
2018-09-30 19 324 343 94.46%
2018-08-31 18 322 340 94.71%
2018-07-31 16 325 341 95.31%
2018-06-30 17 322 339 94.99%
2018-05-31 17 331 348 95.11%
2018-04-30 16 335 351 95.44%
2018-03-31 17 341 358 95.25%
2018-02-28 17 339 356 95.22%
2018-01-31 17 348 365 95.34%
2017-12-31 15 335 350 95.71%
2017-11-30 13 344 357 96.36%
2017-10-31 13 345 358 96.37%
2017-09-30 13 330 343 96.21%
2017-08-31 14 335 349 95.99%
2017-07-31 13 333 346 96.24%
2017-06-30 13 329 342 96.20%
2017-05-31 13 340 353 96.32%
2017-04-30 13 338 351 96.30%
2017-03-31 13 346 359 96.38%
2017-02-28 13 357 370 96.49%
2017-01-31 14 352 366 96.17%
2016-12-31 15 350 365 95.89%
2016-11-30 15 359 374 95.99%
2016-10-31 15 366 381 96.06%
2016-09-30 15 372 387 96.12%
2016-08-31 14 366 380 96.32%
2016-07-31 14 355 369 96.21%
2016-06-30 14 369 383 96.34%
2016-05-31 14 372 386 96.37%
2016-04-30 15 407 422 96.45%
2016-03-31 13 433 446 97.09%
2016-02-29 14 439 453 96.91%
2016-01-31 14 433 447 96.87%
2015-12-31 13 438 451 97.12%
2015-11-30 13 443 456 97.15%
2015-10-31 13 440 453 97.13%
2015-09-30 13 444 457 97.16%
2015-08-31 14 431 445 96.85%
2015-07-31 13 428 441 97.05%
2015-06-30 13 441 454 97.14%
2015-05-31 13 449 462 97.19%
2015-04-30 13 452 465 97.20%
2015-03-31 13 454 467 97.22%
2015-02-28 13 462 475 97.26%
2015-01-31 13 462 475 97.26%
2014-12-31 13 462 475 97.26%
2014-11-30 13 470 483 97.31%
2014-10-31 13 517 530 97.55%
2014-09-30 13 515 528 97.54%
2014-08-31 13 507 520 97.50%
2014-07-31 13 503 516 97.48%
2014-06-30 13 502 515 97.48%
2014-05-31 14 507 521 97.31%
2014-04-30 14 519 533 97.37%
2014-03-31 15 532 547 97.26%
2014-02-28 14 542 556 97.48%
2014-01-31 14 541 555 97.48%
2013-12-31 13 539 552 97.64%
2013-11-30 12 541 553 97.83%
2013-10-31 13 538 551 97.64%
2013-09-30 13 536 549 97.63%
2013-08-31 13 529 542 97.60%
2013-07-31 12 525 537 97.77%
2013-06-30 13 513 526 97.53%
2013-05-31 13 518 531 97.55%
2013-04-30 14 523 537 97.39%
2013-03-31 15 520 535 97.20%
2013-02-28 15 518 533 97.19%
2013-01-31 15 515 530 97.17%
2012-12-31 15 519 534 97.19%
2012-11-30 15 523 538 97.21%
2012-10-31 15 523 538 97.21%
2012-09-30 15 533 548 97.26%
2012-08-31 16 528 544 97.06%
2012-07-31 16 524 540 97.04%
2012-06-30 16 522 538 97.03%
2012-05-31 16 526 542 97.05%
2012-04-30 16 525 541 97.04%
2012-03-31 16 534 550 97.09%
2012-02-29 16 554 570 97.19%
2012-01-31 16 564 580 97.24%
2011-12-31 16 555 571 97.20%
2011-11-30 16 553 569 97.19%
2011-10-31 15 551 566 97.35%
2011-09-30 15 544 559 97.32%
2011-08-31 16 541 557 97.13%
2011-07-31 14 530 544 97.43%
2011-06-30 12 518 530 97.74%
2011-05-31 12 505 517 97.68%
2011-04-30 12 498 510 97.65%
2011-03-31 13 497 510 97.45%
2011-02-28 13 489 502 97.41%
2011-01-31 14 474 488 97.13%
2010-12-31 13 460 473 97.25%
2010-11-30 13 453 466 97.21%
2010-10-31 12 441 453 97.35%
2010-09-30 9 433 442 97.96%
2010-08-31 8 417 425 98.12%
2010-07-31 8 393 401 98.00%
2010-06-30 8 374 382 97.91%
2010-05-31 7 362 369 98.10%
2010-04-30 6 366 372 98.39%
2010-03-31 6 369 375 98.40%
2010-02-28 6 368 374 98.40%
2010-01-31 7 360 367 98.09%
2009-12-31 8 355 363 97.80%
2009-11-30 8 351 359 97.77%
2009-10-31 8 346 354 97.74%
2009-09-30 8 340 348 97.70%
2009-08-31 8 329 337 97.63%
2009-07-31 8 304 312 97.44%
2009-06-30 8 295 303 97.36%
2009-05-31 8 274 282 97.16%
2009-04-30 7 275 282 97.52%
2009-03-31 8 296 304 97.37%
2009-02-28 8 294 302 97.35%
2009-01-31 8 293 301 97.34%
2008-12-31 8 292 300 97.33%
2008-11-30 8 299 307 97.39%
2008-10-31 8 301 309 97.41%
2008-09-30 8 308 316 97.47%
2008-08-31 8 300 308 97.40%
2008-07-31 9 304 313 97.12%
2008-06-30 9 301 310 97.10%
2008-05-31 9 305 314 97.13%
2008-04-30 9 306 315 97.14%
2008-03-31 10 310 320 96.88%
2008-02-29 10 319 329 96.96%
2008-01-31 10 318 328 96.95%
2007-12-31 10 319 329 96.96%
2007-11-30 10 320 330 96.97%
2007-10-31 10 316 326 96.93%
2007-09-30 10 317 327 96.94%
2007-08-31 10 316 326 96.93%
2007-07-31 9 313 322 97.20%
2007-06-30 7 304 311 97.75%
2007-05-31 6 308 314 98.09%
2007-04-30 6 287 293 97.95%
2007-03-31 6 292 298 97.99%
2007-02-28 7 266 273 97.44%
2007-01-31 7 264 271 97.42%
2006-12-31 7 257 264 97.35%
2006-11-30 7 252 259 97.30%
2006-10-31 8 234 242 96.69%
2006-09-30 7 217 224 96.88%
2006-08-31 6 209 215 97.21%
2006-07-31 6 203 209 97.13%
2006-06-30 5 200 205 97.56%
2006-05-31 5 198 203 97.54%
2006-04-30 5 195 200 97.50%
2006-03-31 6 185 191 96.86%
2006-02-28 6 191 197 96.95%
2006-01-31 6 188 194 96.91%
2005-12-31 7 175 182 96.15%
2005-11-30 7 174 181 96.13%
2005-10-31 7 175 182 96.15%
2005-09-30 7 174 181 96.13%
2005-08-31 7 175 182 96.15%
2005-07-31 7 173 180 96.11%
2005-06-30 7 166 173 95.95%
2005-05-31 8 168 176 95.45%
2005-04-30 11 161 172 93.60%
2005-03-31 8 158 166 95.18%
2005-02-28 12 158 170 92.94%
2005-01-31 12 156 168 92.86%
2004-12-31 12 151 163 92.64%
2004-11-30 12 148 160 92.50%
2004-10-31 12 145 157 92.36%
2004-09-30 12 143 155 92.26%
2004-08-31 12 140 152 92.11%
2004-07-31 12 135 147 91.84%
2004-06-30 11 135 146 92.47%
2004-05-31 11 131 142 92.25%
2004-04-30 11 134 145 92.41%
2004-03-31 13 141 154 91.56%
2004-02-29 13 138 151 91.39%
2004-01-31 13 135 148 91.22%
2003-12-31 12 136 148 91.89%
2003-11-30 12 136 148 91.89%
2003-10-31 13 136 149 91.28%
2003-09-30 13 133 146 91.10%
2003-08-31 11 131 142 92.25%
2003-07-31 11 130 141 92.20%
2003-06-30 11 134 145 92.41%
2003-05-31 14 193 207 93.24%
2003-04-30 14 193 207 93.24%
2003-03-31 14 203 217 93.55%

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