Institution record
Tiger Brokers
UP Fintech Holding Ltd
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (futures, options and derivatives providers) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
SFCTier-1 In our coverage Securities and Futures Commission | BMU940 | Regulated | — | 2018-7-11 | |
MASTier-1 In our coverage Monetary Authority of Singapore | Number pending check | Regulated | TIGER BROKERS (SINGAPORE) PTE. LTD | — | |
ASICTier-1 In our coverage Australian Securities and Investments Commission | 007268386 | Regulated | TIGER BROKERS (AU) PTY LIMITED | 1989-6-30 | |
FINRATier-1 Financial Industry Regulatory Authority | 18483 | Regulated | TRADEUP SECURITIES, INC. | — |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Tiger Brokers against peer institutions in our futures, options and derivatives providers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Tiger Brokers (this record) | SFCMASASIC+1 | 4 / 4 | Risk level not supplied | — | 0 |
| Saxo | FCAFINMAMAS+5 | 8 / 8 | Risk level not supplied | — | 0 |
| CMCMarkets | FCAFMAIIROC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| OANDA | IIROCNFAASIC+3 | 6 / 6 | Risk level not supplied | — | 0 |
| Plus500 | CYSECFSAASIC+3 | 6 / 6 | Risk level not supplied | — | 0 |
| Coinbase | FCAMASSEC+6 | 9 / 9 | Risk level not supplied | — | 1 |
Tiger Brokers: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Tiger Brokers's regulatory licence status and supervisory authorisation?
In our imported dataset, Tiger Brokers (legal entity reference: UP Fintech Holding Ltd) holds 4 recorded licence entries, of which 4 carry a "regulated" status and 4 are marked regulated or registered: SFC (Securities and Futures Commission) — licence BMU940, status: regulated, Tier-1; MAS (Monetary Authority of Singapore) — licence Number pending check, status: regulated, Tier-1; ASIC (Australian Securities and Investments Commission) — licence 007268386, status: regulated, Tier-1; FINRA (Financial Industry Regulatory Authority) — licence 18483, status: regulated, Tier-1. 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, MAS, ASIC public register.
Which of Tiger Brokers's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on futures, options and derivatives providers. 3 of Tiger Brokers's 4 licence records fall directly within this jurisdictional mandate: SFC (licence BMU940, regulated); MAS (licence Number pending check, regulated, entity: TIGER BROKERS (SINGAPORE) PTE. LTD); ASIC (licence 007268386, regulated, entity: TIGER BROKERS (AU) PTY LIMITED). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is Tiger Brokers's institutional risk classification, enforcement exposure, and score profile?
Tiger Brokers carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). 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 Tiger Brokers's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Tiger Brokers, 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 VolSurface Desk relevant to Tiger Brokers's supervisory scope.
Second-Order Greeks & Hedging
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts: Dealer Delta/Gamma Hedging Equations & E-Mini S&P 500 Futures Impact (15.0% Broad-Based Index Stress Range Benchmark)
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts (PORTFOLIO-MARGIN-TIMS) stands at 15.0% (Broad-Based Index Stress Range) (Source: FINRA / OCC Portfolio Margin, 2026-10-20), governing intraday f
OCC Margin & Dispersion Desk
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts: Partial Derivative Formulas, Scaling Units & Tenor Surface Grid (15.0% Broad-Based Index Stress Range Benchmark)
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts (PORTFOLIO-MARGIN-TIMS) stands at 15.0% (Broad-Based Index Stress Range) (Source: FINRA / OCC Portfolio Margin, 2026-10-20), governing exact Blac
0DTE Gamma & Volatility Surface
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts: FOMC & CPI Event Volatility Crush & Forward Variance Decomposition (15.0% Broad-Based Index Stress Range Benchmark)
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts (PORTFOLIO-MARGIN-TIMS) stands at 15.0% (Broad-Based Index Stress Range) (Source: FINRA / OCC Portfolio Margin, 2026-10-20), governing extracting
VIX Term Structure & Skew
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts: Constant-Maturity Contango Roll Drag & Backwardation Flip Triggers (15.0% Broad-Based Index Stress Range Benchmark)
FINRA Rule 4210 Portfolio Margin vs. Reg T Strategy-Based Options Haircuts (PORTFOLIO-MARGIN-TIMS) stands at 15.0% (Broad-Based Index Stress Range) (Source: FINRA / OCC Portfolio Margin, 2026-10-20), governing daily VX1-