Charles Alan Heathcote Alexander
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |