Institution record
Phillip Securities
Phillip Securities (HK)
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms authorised in the uk, ireland and gibraltar) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
SFCTier-1 Securities and Futures Commission | AAG460 | Regulated | — | 2007-02-14 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Phillip Securities against peer institutions in our firms authorised in the uk, ireland and gibraltar dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Phillip Securities (this record) | SFC | 1 / 1 | Risk level not supplied | — | 0 |
| Mizuho Securities | FCABaFinMAS+4 | 6 / 7 | Risk level not supplied | — | 0 |
| Blackwell Global | FCASFCSCB+3 | 5 / 6 | Risk level not supplied | — | 0 |
| Hash | CBIFSACR+3 | 6 / 6 | Risk level not supplied | — | 0 |
| Swissquote | FCADFSAFINMA+3 | 5 / 6 | Risk level not supplied | — | 0 |
| The Capital Group | FCAMASSFC | 3 / 3 | Risk level not supplied | — | 0 |
Phillip Securities: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Phillip Securities's regulatory licence status and supervisory authorisation?
In our imported dataset, Phillip Securities (legal entity reference: Phillip Securities (HK)) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: SFC (Securities and Futures Commission) — licence AAG460, 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 public register.
Which of Phillip Securities's jurisdictions and licences fall within this site's regulatory coverage?
Phillip Securities is tracked under our firms authorised in the uk, ireland and gibraltar coverage scope based on its institutional service profile (Stocks, Options, Funds) rather than a domestic focus licence. Its 1 recorded licence (SFC) should be evaluated for cross-border passporting and local solicitation rules.
What is Phillip Securities's institutional risk classification, enforcement exposure, and score profile?
Phillip Securities 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 Phillip Securities's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Phillip Securities, institutional and retail allocators should: (1) confirm the domain (phillip.com.sg) 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
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