Institution record
U Trade
UOB Kay Hian
- Source score
- 5.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing U Trade against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| U Trade (this record) | SFCSFC | 1 / 2 | Risk level not supplied | 5.0 | 0 |
SFCSFC | 2 / 2 | Risk level not supplied | 6.0 | 0 | |
SFC | 1 / 1 | Risk level not supplied | 7.7 | 0 | |
SFC | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SFC | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SFC | 1 / 1 | Risk level not supplied | 7.0 | 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?
In our imported dataset, U Trade (legal entity reference: UOB Kay Hian) holds 2 recorded licence entries, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SFC (Securities and Futures Commission) — licence AHY424, status: regulated; SFC (Securities and Futures Commission) — licence AAW261, status: exceeded scope. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official SFC public register.
Which of U Trade's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on stock brokers, investment platforms and wealth managers. 2 of U Trade's 2 licence records fall directly within this jurisdictional mandate: SFC (licence AHY424, regulated, entity: UOB Kay Hian Futures (Hong Kong) Limited); SFC (licence AAW261, exceeded scope, entity: UOB Kay Hian (Hong Kong) Limited). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
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 record flags 0 regulatory warning or complaint counts 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 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to SFC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to U Trade's supervisory scope.
Fixed Income ETFs & Market Microstructure
SEC Rule 6c-11 Custom Creation Baskets, Fixed-Income ETF NAV Arbitrage & After-Tax Yield Drag Model (2026)
Authorized Participant (AP) custom creation and redemption baskets under SEC Rule 6c-11 refer to non-pro-rata fixed-income portfolio transfers that allow ETF issuers to purge low-basis, illiquid, or off-the-run bonds in-kind without realizing distributable capital gains, compressing annualized after-tax yield drag by 42 to 118 basis points compared with open-end mutual funds.
TIPS & Inflation Breakevens
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing Form N-1A Item 26 ac
ETF Fee Drag & SEC Yield Audits
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: 10-Year Expense Ratio Fee Drag & Compounding Simulation ($100k) (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing basis-point fee diff
Corporate & Municipal Bond ETFs
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math: Modified Duration, DV01 & +/-100 bps Parallel Yield Shock Table (4.32% Implied Box Spread Rate Benchmark)
Alpha Architect 1-3 Month Box ETF (BOXX) vs. Direct T-Bill Tax Math (BOXX-SYNTHETIC-BOX) stands at 4.32% (Implied Box Spread Rate) (Source: Cboe SPX Box Options / IRS Sec 1256, 2026-10-20), governing second-order Taylor