Global Broker Regulation Inquiry App
WikiFX
Broker
Rankings
Regulators
helpneeded
Within 1 year

Is UBS overseen by any regulatory bodies, and if so, which financial authorities are responsible?

Broker Issues
UBS
Regulation
09-03
United States
WikiFX
Reply

From my own research and experience as a trader, regulatory oversight is one of my top concerns when evaluating any broker or financial institution. In the case of UBS, I've found that it is indeed regulated by multiple well-established authorities, particularly for its operations in Asia. Specifically, UBS Securities Asia Limited and UBS Securities Hong Kong Limited are both licensed and supervised by the Securities and Futures Commission (SFC) of Hong Kong. These entities hold the necessary futures licenses, which require adherence to stringent standards set by the regulator. Understanding why this matters is straightforward—having recognized financial oversight helps ensure a certain level of operational integrity and client protection. Regulation by the SFC means regular audits, compliance requirements, and legal accountability in the services they offer, especially regarding futures contracts. However, it's crucial not to conflate the existence of regulation in certain regions with blanket security across all markets or divisions. While regulatory registration provides a baseline level of trust, it does not guarantee a trouble-free experience, as user complaints and risk alerts highlighted in public forums have shown. For me, this underlines the necessity of ongoing due diligence and a careful approach when choosing a financial partner, regardless of the brand’s global reputation.

Select Country/Region
  • Hong Kong

  • Taiwan

    tw.wikifx.com

  • United States

    us.wikifx.com

  • South Korea

    kr.wikifx.com

  • United Kingdom

    uk.wikifx.com

  • Japan

    jp.wikifx.com

  • Indonesia

    id.wikifx.com

  • Vietnam

    vn.wikifx.com

  • Australia

    au.wikifx.com

  • Singapore

    sg.wikifx.com

  • Thailand

    th.wikifx.com

  • Cyprus

    cy.wikifx.com

  • Germany

    de.wikifx.com

  • Russia

    ru.wikifx.com

  • Philippines

    ph.wikifx.com

  • New Zealand

    nz.wikifx.com

  • Ukraine

    ua.wikifx.com

  • India

    in.wikifx.com

  • France

    fr.wikifx.com

  • Spain

    es.wikifx.com

  • Portugal

    pt.wikifx.com

  • Malaysia

    my.wikifx.com

  • Nigeria

    ng.wikifx.com

  • Cambodia

    kh.wikifx.com

  • Italy

    it.wikifx.com

  • South Africa

    za.wikifx.com

  • Turkey

    tr.wikifx.com

  • Netherlands

    nl.wikifx.com

  • United Arab Emirates

    ae.wikifx.com

  • Colombia

    co.wikifx.com

  • Argentina

    ar.wikifx.com

  • Belarus

    by.wikifx.com

  • Ecuador

    ec.wikifx.com

  • Egypt

    eg.wikifx.com

  • Kazakhstan

    kz.wikifx.com

  • Morocco

    ma.wikifx.com

  • Mexico

    mx.wikifx.com

  • Peru

    pe.wikifx.com

  • Pakistan

    pk.wikifx.com

  • Tunisia

    tn.wikifx.com

  • Venezuela

    ve.wikifx.com

United States
※ The content of this website abides with local laws and regulations.
You are visiting the WikiFX website. WikiFX Internet and its mobile products are an enterprise information searching tool for global users. When using WikiFX products, users should consciously abide by the relevant laws and regulations of the country and region where they are located.
consumer hotline:006531290538
Official Email:support@wikifx.com;
Mobile Phone Number:234 706 777 7762;61 449895363
Telegram:+60 103342306
Whatsapp:+852-6613 1970;
License or other information error corrections, please send the information to:qawikifx@gmail.com
Cooperation:fxeyevip@gmail.com