Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
ROCH, ALAN
Chinese Name of Relevant Individual
HKMA Registration Number
AG9133
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
First date of engagement
01 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
First date of engagement
01 Sep 2021
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
Remarks
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
01 Sep 2021
Is an Executive Officer? (Yes / No)
No
Capacity
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
SFC CE number
AAK816
Business Address
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
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
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 05 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
Since 29 Apr 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
29 Apr 2022 - 04 Dec 2022
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Sep 2021 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 4: advising on securities
Effective Period
01 Sep 2021 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Regulated Activity
Type 6: advising on corporate finance
Effective Period
01 Sep 2021 - 28 Apr 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
16 Nov 2018 - 12 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
16 Nov 2018 - 12 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
16 Nov 2018 - 12 Apr 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Mar 2018 - 20 Sep 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Mar 2018 - 20 Sep 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 6: advising on corporate finance
Effective Period
21 Mar 2018 - 20 Sep 2018
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Sep 2015 - 20 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Sep 2015 - 20 Mar 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 16
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
ROCH, ALAN
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG9133
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
01 Sep 2021
Yes
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
01 Sep 2021
Yes
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
01 Sep 2021
No
MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC
Name of Registered Institution
SFC CE number
Business Address
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
AAK816
26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
Since 05 Dec 2022
No
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
Since 29 Apr 2022
Yes
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
Since 29 Apr 2022
Yes
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
29 Apr 2022 - 04 Dec 2022
Yes
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 1: dealing in securities
01 Sep 2021 - 28 Apr 2022
No
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 4: advising on securities
01 Sep 2021 - 28 Apr 2022
No
AG9133
CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK
Type 6: advising on corporate finance
01 Sep 2021 - 28 Apr 2022
No
AG9133
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
16 Nov 2018 - 12 Apr 2021
No
AG9133
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
16 Nov 2018 - 12 Apr 2021
No
AG9133
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 6: advising on corporate finance
16 Nov 2018 - 12 Apr 2021
No
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
21 Mar 2018 - 20 Sep 2018
Yes
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
21 Mar 2018 - 20 Sep 2018
Yes
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
21 Mar 2018 - 20 Sep 2018
Yes
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 1: dealing in securities
25 Sep 2015 - 20 Mar 2018
No
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 4: advising on securities
25 Sep 2015 - 20 Mar 2018
No
AG9133
AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED
Type 6: advising on corporate finance
25 Sep 2015 - 20 Mar 2018
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.