Chenn Siong Ooi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chenn Siong Ooi, a licensed Responsible Officer with CE reference AXR955. Currently licensed at 1 firm(s): MUFG Securities Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2020-09-09 | present |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-09-09 | present |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-14 | 2020-09-09 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-07-14 | 2020-09-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-11-13 | 2016-09-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2012-11-13 | 2016-09-02 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2012-11-13 | 2016-09-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2012-11-13 | 2016-09-02 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2012-11-13 | 2016-09-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2011-08-01 | 2016-09-02 |