Institution record
U Trade
UOB Kay Hian
- Source score
- 5.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (electronic trading terminals, execution gateways, fix bridge topologies and multi-broker software builds) are listed first. Check each one on the regulator's own register.
Peer source record comparison
Compare imported fields for U Trade and other records in our electronic trading terminals, execution gateways, fix bridge topologies and multi-broker software builds dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| U Trade (this record) | SFCSFC | 1 / 2 | Risk level not supplied | 5.0 | 0 |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 | |
| None on file | 0 / 0 | Risk level not supplied | — | 0 |
U Trade: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is U Trade's regulatory licence status and supervisory authorisation?
The imported dataset contains 2 licence entries associated with U Trade (legal entity reference: UOB Kay Hian); 1 are labelled "regulated" and 1 are labelled regulated or registered: SFC (Securities and Futures Commission) — licence AHY424, status: regulated; SFC (Securities and Futures Commission) — licence AAW261, status: exceeded scope. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official SFC public register.
Which of U Trade's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's electronic trading terminals, execution gateways, fix bridge topologies and multi-broker software builds source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
What is U Trade's institutional risk classification, enforcement exposure, and score profile?
U Trade carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 5.0, risk & licensing: 5.0, brand: 5.0, market influence: 5.0, user reputation: 0.0). The imported source lists 0 exposure entries and 1 licence record with elevated status flags (SFC: exceeded scope). Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to U Trade's platforms, entity structure, and complaints?
Before allocating capital or executing trades with U Trade, institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to SFC.