Samuel Joe Sum Kok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Samuel Joe Sum Kok (谷祖森), a licensed Responsible Officer with CE reference ALS368. Currently licensed at 2 firm(s): Marex Financial Services Hong Kong Limited, Marex Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 20.7 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marex Financial Services Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2026-06-12 | present |
| Marex Hong Kong Limited | RO | Type 2 - Dealing in futures contracts | 2015-08-26 | present |
| Marex Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2012-05-28 | 2015-08-26 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-03 | 2012-05-19 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-10-03 | 2012-05-19 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-05 | 2011-09-26 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 4 - Advising on securities | 2008-05-05 | 2011-09-26 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 5 - Advising on futures contracts | 2008-05-05 | 2011-09-26 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-01-02 | 2011-09-26 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2008-01-02 | 2011-09-26 |
| Emperor Futures Limited 英皇期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-06-22 | 2007-05-29 |
| Emperor International Exchange (Hong Kong) Company Limited 英皇金融集團(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2005-04-06 | 2007-05-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Samuel Joe Sum Kok during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.