Roderick Mark Waters
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roderick Mark Waters, a licensed Responsible Officer with CE reference AHD375. Currently licensed at 1 firm(s): Aletheia Analyst Network Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aletheia Analyst Network Limited |
RO | Type 4 — Advising on securities | 2012-09-03 | present |
| Enzard Limited | RO | Type 4 — Advising on securities | 2008-08-25 | 2012-09-02 |
| Enzard Limited | Rep | Type 4 — Advising on securities | 2008-07-02 | 2008-08-25 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2008-02-19 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-03 |