Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROCKS, TIMOTHY IGNATIUS
Chinese Name of Relevant Individual
HKMA Registration Number
AG3596
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
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2015 - 31 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2015 - 31 May 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Nov 2014 - 31 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
12 Nov 2014 - 31 Dec 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 1: dealing in securities
Effective Period
03 Jun 2014 - 06 Jun 2014
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COMMONWEALTH BANK OF AUSTRALIA
Regulated Activity
Type 4: advising on securities
Effective Period
03 Jun 2014 - 06 Jun 2014
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
ROCKS, TIMOTHY IGNATIUS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG3596
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
01 Apr 2015 - 31 May 2015
No
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
01 Apr 2015 - 31 May 2015
No
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
12 Nov 2014 - 31 Dec 2014
No
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
12 Nov 2014 - 31 Dec 2014
No
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 1: dealing in securities
03 Jun 2014 - 06 Jun 2014
No
AG3596
COMMONWEALTH BANK OF AUSTRALIA
Type 4: advising on securities
03 Jun 2014 - 06 Jun 2014
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.