Frank Mu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frank Mu ( ), a licensed former licensee with CE reference AST290. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-04-15 | 2011-11-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 5 — Advising on futures contracts | 2010-04-15 | 2011-11-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 1 — Dealing in securities | 2009-06-05 | 2011-11-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 4 — Advising on securities | 2009-06-05 | 2011-11-30 |