Yuanta • Supervisory Authorisation Audit
Yuanta: Regulation, Licence Numbers & Tier Breakdown
Complete primary licence audit for Yuanta (Yuanta Securities (Hong Kong) Co., Ltd), including regulatory certificate numbers, tier classifications, contracting legal entities, and our 3-step official registry verification playbook.
Coverage: Stock brokers, investment platforms and wealth managers
- 6D Overall Score
- 6.0
- Regulated Licences
- 2 / 2
- Tier-1 Filings
- 0
- Warning Exposure
- 0
Yuanta Regulatory Licence & Certificate Registry
Each certificate number links to our cryptographic verification dossier (/verify/license/[num]).
| Supervising Authority | Tier | Certificate Number | Supervisory Status | Contracting Legal Entity | Effective Date | |
|---|---|---|---|---|---|---|
| SFC Securities and Futures Commission | unknown | AXQ690 | Regulated | Yuanta Futures (HK) Co., Limited | 2012-02-24 | |
| SFC Securities and Futures Commission | unknown | ABS015 | Regulated | Yuanta Securities (Hong Kong) Company Limited | 2004-02-16 |
Supervisory Tier Distribution & Prudential Breakdown
Categorisation of recorded authorisations by statutory capital, segregation, and compensation rigor.
0
Major statutory regimes (FCA, ASIC, MAS, SEC/NFA, BaFin, FINMA, JFSA, SFC) with strict daily trust reconciliation and statutory compensation.
0
Recognised regional regulators (CySEC, FMA, FSCA, DFSA) enforcing MiFID II or equivalent prudential reporting and negative balance protection.
0
International business company (IBC) or offshore registrations with flexible leverage schedules and no statutory investor compensation fund.
0
Filings marked exceeded scope, revoked, unauthorised, or suspected clone in the imported supervisory dataset.
3-Step Official Register Verification Playbook
How to independently verify Yuanta's supervisory standing before wiring funds.
Cross-Check Certificate Number
Take each licence number listed for Yuanta and query it directly on the issuing authority's official public register (and via our /verify/license/ oracle) to confirm active standing.
Audit Onboarding Subsidiary
Multi-entity brokerages often market a Tier-1 licence on their homepage while onboarding international clients under an offshore entity. Confirm your client agreement names Yuanta Securities (Hong Kong) Co., Ltd.
Verify Approved Website Host
Confirm that the website domain you use to log in (yuanta.com.hk) matches the approved domain recorded on the regulator's register entry.
Yuanta — Regulation & Licences Architecture Exhibit
Deterministic vector diagram generated from supervisory filings and 6D telemetry.
Yuanta Regulation & Licences: Frequently Asked Questions
Four intent-specific due diligence questions answered from primary dataset records.
Which financial regulators authorise and supervise Yuanta?
Yuanta (Yuanta Securities (Hong Kong) Co., Ltd) holds 2 recorded supervisory filing(s) in our dataset across SFC. Of these, 2 carry an active "Regulated" status and 0 are classified under Tier-1 statutory supervisors.
What are Yuanta's official regulatory licence numbers?
Recorded certificate numbers for Yuanta include: SFC #AXQ690 (Regulated); SFC #ABS015 (Regulated). Click any certificate number in the table above to open its SHA-256 verification dossier.
Does Yuanta hold Tier-1 onshore regulatory authorisation?
No active Tier-1 regulated filing is recorded for Yuanta in our current snapshot (2 total filings across SFC).
How do I verify Yuanta's contracting legal entity before funding an account?
Follow our 3-step verification protocol: (1) locate the exact corporate name in your client agreement and compare it against "Yuanta Securities (Hong Kong) Co., Ltd"; (2) click the certificate number link in our licence table to verify the registration string; and (3) confirm on the regulator's own domain that yuanta.com.hk is the authorised web portal.
Structured against supervisory register snapshots and public regulatory filings. Verify your contracting legal entity and current authorisation status directly on the issuing regulator’s official register before transacting.