Institution record
Upstox
- Source score
- 7.0
- 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.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Securities and Exchange Board of India | INZ000015837 | Regulated | RKSV COMMODITIES INDIA PVT LTD | 2015-11-30 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Upstox against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Upstox (this record) | SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 |
SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 7.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.1 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 | |
SEBI | 1 / 1 | Risk level not supplied | 6.0 | 0 |
Upstox: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Upstox's regulatory licence status and supervisory authorisation?
In our imported dataset, Upstox (legal entity reference: Upstox) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SEBI (Securities and Exchange Board of India) — licence INZ000015837, status: regulated. 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 SEBI public register.
Which of Upstox's jurisdictions and licences fall within this site's regulatory coverage?
Upstox is registered at 30th Floor, Sunshine Tower, Senapati Bapat Marg, Dadar (W) IN,Maharashtra,Mumbai,400013 and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (Cryptocurrencies, Stocks, Funds) rather than a domestic focus licence. Its 1 recorded licence (SEBI) should be evaluated for cross-border passporting and local solicitation rules.
What is Upstox's institutional risk classification, enforcement exposure, and score profile?
Upstox carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 7.0, risk & licensing: 6.0, brand: 6.0, market influence: 6.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. 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 Upstox's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Upstox (listed execution software: Upstox: Demat, Stock, MF, IPO), 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 SEBI.
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