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DAVIES Chad Matthew Francis

CE BGV499Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

DAVIES Chad Matthew Francis (CE number BGV499) is an individual licensed by the Hong Kong SFC. First licensed on 2016-01-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerBNY Mellon Investment Management Hong Kong Limited
紐約梅隆投資管理香港有限公司
RepresentativeBNY Mellon Investment Management Hong Kong Limited
紐約梅隆投資管理香港有限公司

Licence Record (4)

2022-08-10 – present Current
BNY Mellon Investment Management Hong Kong Limited RO
RA 1 RA 2
2022-01-13 – present Current
BNY Mellon Investment Management Hong Kong Limited Rep
RA 1 RA 2 RA 9
2017-08-15 – 2021-12-29
Legal & General Investment Management Asia Limited Rep
RA 1 RA 2 RA 9
2016-01-18 – 2017-07-26
Jefferies Hong Kong Limited Rep
RA 1

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/BGV499