Philip O. Penaloza
蔡偉立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Philip O. Penaloza (蔡偉立), a licensed Representative with CE reference AAI785. Currently licensed at 1 firm(s): SW Capital Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SW Capital Management Limited 信永資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-02 | present |
| SW Capital Management Limited 信永資本管理有限公司 |
Rep | Type 9 — Asset management | 2023-03-02 | present |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-08-24 | 2013-10-15 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-24 | 2013-10-15 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-08-24 | 2013-10-15 |
| Clariden Leu Asset Management (Hong Kong) Limited 瑞士嘉來資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-03 | 2009-02-10 |
| Clariden Leu Asset Management (Hong Kong) Limited 瑞士嘉來資產管理(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-09-03 | 2009-02-10 |
| Clariden Leu Asset Management (Hong Kong) Limited 瑞士嘉來資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2008-09-03 | 2009-02-10 |