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. This person has 2.5 years of SFC licence history. Total licence records on file: 4.
Information
- LinkedIn:
- Email:
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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Frank Mu 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.