Joanne Chung Yan Ma
馬縱欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanne Chung Yan Ma (馬縱欣), a licensed Representative with CE reference AFE073. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2020-12-17 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-12-17 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2020-12-17 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-02-24 | 2020-12-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-02-24 | 2020-12-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2014-02-24 | 2020-12-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-10-31 | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-20 | 2013-11-09 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2004-03-05 | 2010-09-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2013-11-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | present | 2004-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2004-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | present | 2004-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2004-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | present | 2004-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2004-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2004-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 9 - Asset management | present | 2004-03-02 |