Samuel Joe Sum Kok
谷祖森
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 1 firm(s): Marex Hong Kong Limited. Active regulated activities: Type 2 — Dealing in futures contracts. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |