Li, James Kwok Tai 李國泰
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BNP PARIBAS CAPITAL (ASIA PACIFIC) LIMITED | Rep | Advising on corporate finance | 2006-07-21 | 2007-04-27 |
| 2 | CGS International Securities Hong Kong Limited | Rep | Advising on corporate finance | 2012-07-03 | 2014-06-09 | Rep | Dealing in securities | 2012-07-03 | 2017-01-17 | RO | Advising on corporate finance | 2014-06-09 | 2017-01-17 |
| 3 | China Vered Securities Limited | Rep | Dealing in securities | 2017-03-09 | 2017-07-19 | Rep | Advising on corporate finance | 2017-05-11 | 2017-07-19 |
| 4 | HEUNGKONG CAPITAL LIMITED | Rep | Advising on corporate finance | 2017-07-28 | 2017-09-19 | RO | Advising on corporate finance | 2017-09-19 | 2018-06-01 |
| 5 | RBS Asia Corporate Finance Limited | Rep | Advising on corporate finance | 2010-08-13 | 2012-06-30 | Rep | Dealing in securities | 2010-08-13 | 2012-06-30 |
| 6 | Shanggu Securities Limited | Rep | Advising on corporate finance | 2018-06-22 | 2018-08-31 | Rep | Dealing in securities | 2018-06-22 | 2018-08-31 | Rep | Advising on securities | 2018-06-22 | 2023-04-16 | RO | Advising on corporate finance | 2018-08-31 | 2023-04-16 | RO | Dealing in securities | 2018-08-31 | 2023-04-16 |
| 7 | SILVER NILE GLOBAL INVESTMENTS LIMITED | Rep | Dealing in securities | 2017-07-28 | 2017-09-19 | Rep | Advising on securities | 2017-07-28 | 2018-06-01 | RO | Dealing in securities | 2017-09-19 | 2018-06-01 |
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