Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
PENALOZA, PHILIP O.
Chinese Name of Relevant Individual
蔡偉立
HKMA Registration Number
AC0594
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2014 - 15 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 4: advising on securities
Effective Period
17 Jan 2014 - 15 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COUTTS & CO AG
Regulated Activity
Type 9: asset management
Effective Period
17 Jan 2014 - 15 Jun 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
22 Nov 2005 - 24 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
22 Nov 2005 - 24 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Oct 2005 - 24 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Oct 2005 - 24 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG PRIVATE BANK SA
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Sep 2003 - 01 Oct 2003
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
EFG PRIVATE BANK SA
Regulated Activity
Type 9: asset management
Effective Period
19 Sep 2003 - 01 Oct 2003
Is an Executive Officer? (Yes / No)
No
Records: 1-9 of 9
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
PENALOZA, PHILIP O.
:
Chinese Name of Relevant Individual
蔡偉立
:
HKMA Registration Number
AC0594
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0594
COUTTS & CO AG
Type 1: dealing in securities
17 Jan 2014 - 15 Jun 2015
No
AC0594
COUTTS & CO AG
Type 4: advising on securities
17 Jan 2014 - 15 Jun 2015
No
AC0594
COUTTS & CO AG
Type 9: asset management
17 Jan 2014 - 15 Jun 2015
No
AC0594
CITIBANK, N.A.
Type 1: dealing in securities
22 Nov 2005 - 24 Jul 2008
No
AC0594
CITIBANK, N.A.
Type 4: advising on securities
22 Nov 2005 - 24 Jul 2008
No
AC0594
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Oct 2005 - 24 Jul 2008
No
AC0594
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
04 Oct 2005 - 24 Jul 2008
No
AC0594
EFG PRIVATE BANK SA
Type 1: dealing in securities
19 Sep 2003 - 01 Oct 2003
No
AC0594
EFG PRIVATE BANK SA
Type 9: asset management
19 Sep 2003 - 01 Oct 2003
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.