Charles Alan Heathcote Alexander

CE No. ALI373 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Alan Heathcote Alexander (), a licensed former licensee with CE reference ALI373. Total licence records on file: 7.

Licence history

FirmRoleRegulated activityFromTo
Standard Chartered Securities (Hong Kong) Limited
渣打證券(香港)有限公司
RO Type 1 — Dealing in securities 2009-07-28 2010-06-03
Standard Chartered Securities (Hong Kong) Limited
渣打證券(香港)有限公司
RO Type 4 — Advising on securities 2009-07-28 2010-06-03
Standard Chartered Securities (Hong Kong) Limited
渣打證券(香港)有限公司
RO Type 6 — Advising on corporate finance 2009-07-28 2010-06-03
Lehman Brothers Asia Limited
美國雷曼兄弟亞洲投資有限公司
RO Type 4 — Advising on securities 2005-07-15 2008-02-01
Lehman Brothers Asia Limited
美國雷曼兄弟亞洲投資有限公司
RO Type 6 — Advising on corporate finance 2004-12-21 2008-02-01
Lehman Brothers Asia Limited
美國雷曼兄弟亞洲投資有限公司
Rep Type 4 — Advising on securities 2004-10-12 2005-07-15
Lehman Brothers Asia Limited
美國雷曼兄弟亞洲投資有限公司
Rep Type 6 — Advising on corporate finance 2004-10-12 2004-12-21

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