Rupert John Alexander Fane
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rupert John Alexander Fane ( ), a licensed former licensee with CE reference AEL032. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orion Investment Management Limited | RO | Type 1 — Dealing in securities | 2015-03-12 | 2015-09-12 |
| Orion Investment Management Limited | RO | Type 4 — Advising on securities | 2015-03-12 | 2015-09-12 |
| Orion Investment Management Limited | RO | Type 6 — Advising on corporate finance | 2015-03-12 | 2015-09-12 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2005-05-27 | 2007-11-02 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2005-05-27 | 2007-11-02 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 6 — Advising on corporate finance | 2005-05-27 | 2007-11-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | present | 2005-05-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-05-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 9 — Asset management | present | 2005-02-15 |