SFC Licences of LAW Kwok Tai 羅國泰

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

Institution Role Licences Start date End date
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RO 1 01 November 2018
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RO 6 01 November 2018
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 6 03 September 2018 01 November 2018
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 03 September 2018 01 November 2018
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO 6 01 December 2015 25 August 2018
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 4 21 September 2015 25 August 2018
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 21 September 2015 25 August 2018
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 6 21 September 2015 01 December 2015
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RO 6 10 October 2014 07 August 2015
BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 RE 6 17 August 2006 07 August 2015
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 6 28 March 2013 10 October 2014
BOCI Asia Limited 中銀國際亞洲有限公司 RE 6 28 February 2005 07 August 2006
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 RE 4 01 April 2003 21 February 2005
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 RE 6 01 April 2003 21 February 2005
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 RE 9 01 April 2003 21 February 2005