Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
MOORE, DOUGLAS HOWARD
Chinese Name of Relevant Individual
穆得志
HKMA Registration Number
AF0707
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jun 2018 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jun 2018 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Jun 2018 - 28 Feb 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Jun 2016 - 31 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
28 Oct 2015 - 31 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 4: advising on securities
Effective Period
28 Oct 2015 - 31 May 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Nov 2012 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Nov 2012 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Nov 2012 - 26 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
ROYAL BANK OF CANADA
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Apr 2011 - 27 Oct 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
MOORE, DOUGLAS HOWARD
:
Chinese Name of Relevant Individual
穆得志
:
HKMA Registration Number
AF0707
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF0707
ROYAL BANK OF CANADA
Type 1: dealing in securities
01 Jun 2018 - 28 Feb 2019
No
AF0707
ROYAL BANK OF CANADA
Type 4: advising on securities
01 Jun 2018 - 28 Feb 2019
No
AF0707
ROYAL BANK OF CANADA
Type 6: advising on corporate finance
01 Jun 2018 - 28 Feb 2019
No
AF0707
ROYAL BANK OF CANADA
Type 6: advising on corporate finance
21 Jun 2016 - 31 May 2018
Yes
AF0707
ROYAL BANK OF CANADA
Type 1: dealing in securities
28 Oct 2015 - 31 May 2018
Yes
AF0707
ROYAL BANK OF CANADA
Type 4: advising on securities
28 Oct 2015 - 31 May 2018
Yes
AF0707
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 1: dealing in securities
01 Nov 2012 - 26 Jul 2016
Yes
AF0707
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 4: advising on securities
01 Nov 2012 - 26 Jul 2016
Yes
AF0707
RBC CAPITAL MARKETS (HONG KONG) LIMITED
Type 6: advising on corporate finance
01 Nov 2012 - 26 Jul 2016
Yes
AF0707
ROYAL BANK OF CANADA
Type 1: dealing in securities
04 Apr 2011 - 27 Oct 2015
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.