Kwok Tai Law
羅國泰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Tai Law (羅國泰), a licensed former licensee with CE reference AHN287. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-01 | 2023-05-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-11-01 | 2023-05-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-03 | 2018-11-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-09-03 | 2018-11-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-12-01 | 2018-08-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-21 | 2018-08-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-09-21 | 2018-08-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-09-21 | 2015-12-01 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-10-10 | 2015-08-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-03-28 | 2014-10-10 |
| 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 | 2006-08-17 | 2015-08-07 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-02-28 | 2006-08-07 |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-21 |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-21 |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-21 |