SFC Licences of LI Kwok Tai, James 李國泰

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Shanggu Securities Limited 上古證券有限公司	RO	6	31 August 2018	16 April 2023
Shanggu Securities Limited 上古證券有限公司	RO	1	31 August 2018	16 April 2023
Shanggu Securities Limited 上古證券有限公司	RE	4	22 June 2018	16 April 2023
Shanggu Securities Limited 上古證券有限公司	RE	6	22 June 2018	31 August 2018
Shanggu Securities Limited 上古證券有限公司	RE	1	22 June 2018	31 August 2018
HeungKong Capital Limited 香江資本有限公司	RO	6	19 September 2017	01 June 2018
Silver Nile Global Investments Limited 銀豐環球投資有限公司	RO	1	19 September 2017	01 June 2018
Silver Nile Global Investments Limited 銀豐環球投資有限公司	RE	4	28 July 2017	01 June 2018
HeungKong Capital Limited 香江資本有限公司	RE	6	28 July 2017	19 September 2017
Silver Nile Global Investments Limited 銀豐環球投資有限公司	RE	1	28 July 2017	19 September 2017
China Vered Securities Limited 中薇證券有限公司	RE	6	11 May 2017	19 July 2017
China Vered Securities Limited 中薇證券有限公司	RE	1	09 March 2017	19 July 2017
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司	RO	6	09 June 2014	17 January 2017
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司	RE	1	03 July 2012	17 January 2017
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司	RE	6	03 July 2012	09 June 2014
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司	RE	6	13 August 2010	30 June 2012
RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司	RE	1	13 August 2010	30 June 2012
BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司	RE	6	21 July 2006	27 April 2007