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KOK Joe Sum, Samuel

谷祖森
CE ALS368Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KOK Joe Sum, Samuel (CE number ALS368) is an individual licensed by the Hong Kong SFC. First licensed on 2005-04-06. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerMarex Hong Kong Limited
RepresentativeMarex Financial Services Hong Kong Limited

Licence Record (8)

2026-06-12 – present Current
Marex Financial Services Hong Kong Limited Rep
RA 1
2015-08-26 – present Current
Marex Hong Kong Limited RO
RA 2
2012-05-28 – 2015-08-26
Marex Hong Kong Limited Rep
RA 2
2011-10-03 – 2012-05-19
Celestial Securities Limited Rep
RA 1
2011-10-03 – 2012-05-19
Celestial Commodities Limited Rep
RA 2
2008-01-02 – 2011-09-26
MF Global Hong Kong Limited Rep
RA 1 RA 2 RA 3 RA 4 RA 5
2005-06-22 – 2007-05-29
Emperor Futures Limited Rep
RA 2
2005-04-06 – 2007-05-29
Emperor International Exchange (Hong Kong) Company Limited Rep
RA 3

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/ALS368