Law, Kwok Tai 羅國泰
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) | Rep | Advising on corporate finance | 2005-02-21 | Rep | Advising on securities | 2005-02-21 | Rep | Asset management | 2005-02-21 |
| 2 | BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | Advising on corporate finance | 2006-08-17 | 2015-08-07 |
| 3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2013-03-28 | 2014-10-10 | RO | Advising on corporate finance | 2014-10-10 | 2015-08-07 |
| 4 | BOCI ASIA LIMITED | Rep | Advising on corporate finance | 2005-02-28 | 2006-08-07 |
| 5 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-09-21 | 2015-12-01 | Rep | Advising on securities | 2015-09-21 | 2018-08-25 | Rep | Dealing in securities | 2015-09-21 | 2018-08-25 | RO | Advising on corporate finance | 2015-12-01 | 2018-08-25 |
| 6 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2018-09-03 | 2018-11-01 | Rep | Dealing in securities | 2018-09-03 | 2018-11-01 | RO | Advising on corporate finance | 2018-11-01 | 2023-05-24 | RO | Dealing in securities | 2018-11-01 | 2023-05-24 |
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