James Kwok Tai Li
李國泰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kwok Tai Li (李國泰), a licensed former licensee with CE reference AFS293. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-31 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-08-31 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-22 | 2018-08-31 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-22 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-22 | 2018-08-31 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
RO | Type 1 — Dealing in securities | 2017-09-19 | 2018-06-01 |
| HeungKong Capital Limited 香江資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-09-19 | 2018-06-01 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-28 | 2017-09-19 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-28 | 2018-06-01 |
| HeungKong Capital Limited 香江資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-07-28 | 2017-09-19 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-05-11 | 2017-07-19 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-09 | 2017-07-19 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-06-09 | 2017-01-17 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-03 | 2017-01-17 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-07-03 | 2014-06-09 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-13 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-08-13 | 2012-06-30 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-07-21 | 2007-04-27 |