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ROCH Alan

CE BMS330Licensed IndividualExecutive OfficerNo active licence
Official SFC record

ROCH Alan (CE number BMS330) is an individual licensed by the Hong Kong SFC. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerCredit Agricole Corporate and Investment Bank

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/BMS330