Philip O. Penaloza
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. This person has 8.0 years of SFC licence history. Total licence records on file: 8.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Philip O. Penaloza 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.