Kwok Tai Law
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Tai Law (羅國泰), a licensed Responsible Officer with CE reference AHN287. Currently licensed at 2 firm(s): Haitong International Capital Limited, Haitong International Securities Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 20.1 years of SFC licence history. Total licence records on file: 19.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2026-06-04 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2026-06-01 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2026-06-01 | present |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2026-06-01 | 2026-06-04 |
| 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 | Pre-2003 | 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 | Pre-2003 | 2005-02-21 |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-02-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwok Tai Law during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.