ROCH, ALAN (HKMA registration number AG9133) is a relevant individual on the HKMA Register of Securities Staff of Authorized Institutions. Currently registered to carry on regulated activities at CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK. Has been engaged at 3 authorized institutions over time.
| Registered Institution | Regulated Activity | Exec. Officer | Capacity | First engaged |
|---|---|---|---|---|
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | RA 1 Type 1: dealing in securities | Yes | MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC | 2021-09-01 |
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | RA 4 Type 4: advising on securities | Yes | MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC | 2021-09-01 |
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | RA 6 Type 6: advising on corporate finance | No | MANAGING DIRECTOR, HEAD OF CREDIT FOR ASIA-PACIFIC | 2021-09-01 |
| Registered Institution | SFC CE No. | Address |
|---|---|---|
| CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK | AAK816 | 26/F, 27/F, 28/F & 30/F, TWO PACIFIC PLACE, 88 QUEENSWAY, ADMIRALTY, HONG KONG. |