UOB Kay Hian (M) Sdn. Bhd.
BrokersUOB Kay Hian (M) Sdn. Bhd. holds Capital Markets Services Licence eCMSL/A0018/2007 from the Securities Commission Malaysia for dealing in securities; dealing in derivatives; clearing; advising on corporate finance; investment advice; financial planning; dealing in private retirement schemes. SmartChecker read the SC's Public Register of Licence Holders and Registered Persons on 2026-09-23, where the licence is shown as valid.
- LicenceCMSL
- RegulatorNone stated
- SourceSC public register
- Checked
SmartChecker checks every company against the official registers and shows the source and date for each fact.
About UOB Kay Hian (M) Sdn. Bhd.
UOB Kay Hian (M) Sdn. Bhd. is on SmartChecker because we chose to cover it. Its own website publishes the name and company number below, but SmartChecker found no statement there about a licence. SmartChecker searched the Securities Commission Malaysia's Public Register of Licence Holders and Registered Persons on 2026-09-23 and found the company there as UOB Kay Hian (M) Sdn. Bhd., registration number 194990-K, licence eCMSL/A0018/2007, type CMSL, status Valid. A licence records what a company is permitted to do. It is not a statement about how it treats its customers.
Company details
- Name on the register
- UOB Kay Hian (M) Sdn. Bhd.
- Registration number
- 194990-K
- Old registration number
- 194990-K
- Licence number
- eCMSL/A0018/2007
- Licence type
- CMSL
- Regulated activities
- Dealing in securities; Dealing in derivatives; Clearing; Advising on corporate finance; Investment advice; Financial planning; Dealing in private retirement schemes
- Status on the register
- Valid
- SmartChecker checked
- 2026-09-23
- Confirmed against a regulator's register
- Yes
The records below come from Securities Commission Malaysia. Board MembersWho runs SC
- Dato' Mohammad Faiz AzmiChairmanSecurities Commission Malaysia
- Tan Sri Wee Hoe Soon @ Gooi Hoe SoonMember
- Datuk Dr Zunika MohamedDeputy Secretary General (Policy)Ministry of Economy
- Dato' Alizatul Khair Osman KhairuddinMember
- Datuk Kemal Rizadi ArbiMember
- Datuk Nik Mohd Hasyudeen YusoffMember
- Dato' Kamal Azira HassanTreasury Solicitor, Legal DivisionMinistry of Finance
- Adnan ZaylaniDeputy GovernorBank Negara Malaysia
The people who run SC, as it publishes them. They have no connection to this company beyond the register it appears on, and nothing here is SC’s view of it.
SmartChecker copies public registers. The Securities Commission publishes a search portal rather than a listable page, so its row for this company was searched, read on screen and transcribed on the date shown. Both links are below — check them yourself.
UOB Kay Hian Malaysia (UTRADE)
No licence statement found
SmartChecker found no licence statement on the company's own website.
Public Register of Licence Holders and Registered Persons
Licensed — CMSL eCMSL/A0018/2007, valid
The SC register is a search portal with no listable page, so this row was read on screen and transcribed. Search the name yourself to see the live row.
What it discloses. Figures the company, its regulator or its auditor published.
Every figure here was published by the company, its regulator, its auditor or an exchange, and is reproduced with a link to the source and the date SmartChecker read it. SmartChecker did not measure any of it, has not audited any of it, and a figure for one group entity is not necessarily a figure for the company on this page — the source line says which entity it belongs to.
We timed its website.
0 readings, and how each was taken
Fast, OK and slow are Google’s published thresholds for time to first byte — good to 800 ms, needs improvement to 1,800 ms, poor beyond — not SmartChecker’s opinion.
A measure of a website, not a rating of the company.
Where its customers are. As published by somebody who counted them, with the date and the source.
SmartChecker has no access to any company’s customer list. These figures are reproduced from the source named above, on the date shown, and SmartChecker has not verified them. A state with no figure is a state the source gave no figure for — not a state with nobody in it.
In the news. Stories from other publishers.
Malaysian banking sector earnings to rise 3-6% through 2027 — UOB Kay Hian
UOB Kay Hian appoints Anne Leh as new CEO
UOB Kay Hian unveils 16 global shariah-compliant derivatives to address increasing demand of shariah investors
UOB Kay Hian expands to better serve investors
Newsbreak: UOB Kay Hian ramps up hiring in bid to enter corporate advisory business
We checked it ourselves. Our own visit, our own measurements, our own writing — on one page.
What SmartChecker has done itself on UOB Kay Hian (M) Sdn. Bhd., with the date of each piece of work.Open the SC Visit page for UOB Kay Hian (M) Sdn. Bhd.SmartChecker pays for its own visits and funds its own test accounts. None of this is a check of a licence — the registers above are — and none of it is a view on whether a company is safe to deal with.
What does SmartChecker make of UOB Kay Hian?SmartChecker 怎么看 UOB Kay Hian？Apa pandangan SmartChecker tentang UOB Kay Hian?
Written by Pang Hui JuanDirector of Online Broker Research
Fact-checked by Ng Kok HeiManaging Malaysian Partner
Fact-checked
I’ve been looking into UOB Kay Hian (M) Sdn. Bhd., one of the established stockbroking firms operating in Malaysia, and there are several factors worth considering when evaluating it.
UOB Kay Hian (M) Sdn. Bhd. holds a Capital Markets Services Licence from the Securities Commission Malaysia, eCMSL/A0018/2007, which SmartChecker read on the SC’s public register on 2026-09-23. The licence covers dealing in securities, dealing in derivatives, clearing, advising on corporate finance, investment advice, financial planning and dealing in private retirement schemes. It is a Participating Organisation of Bursa Malaysia and runs the UTRADE platform here, with the research and regional reach of the wider UOB Kay Hian group behind it.
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One point of confusion is worth clearing up first. UOB Kay Hian is not the bank. United Overseas Bank (Malaysia) Berhad is a separate company licensed by Bank Negara Malaysia, and United Overseas Bank Limited in Singapore is another. Penalties imposed on either of those banks are not penalties against this stockbroker, and nothing on this page should be read that way.
Investors should also know this firm’s own regulatory history. On 25 November 2024 the Securities Commission Malaysia took administrative action against UOB Kay Hian Securities (M) Sdn Bhd over structured products sold to four high-net-worth individuals. The SC said the firm sold them without first seeking the SC’s authorisation, did not register the disclosure document, did not provide a product highlight sheet, and made a misleading statement in that document. The firm was reprimanded for each breach and penalised RM405,000 in total.
An earlier action, on 30 April 2021, concerned its role as adviser in a take-over. The SC found non-compliance with the Rules on Take-overs, Mergers and Compulsory Acquisitions and with section 221 of the Capital Markets and Services Act 2007, reprimanded the firm, and directed it to review how it identifies parties acting in concert and to report to its board.
Company-level actions should be kept apart from individual ones. On 7 March 2024 the SC revoked the licence of a former financial planner attached to UOB Kay Hian Wealth Advisors (M) Sdn Bhd for false declarations in his licence application. That action was against the individual, and is not a finding that the stockbroking company did the same.
Overall, UOB Kay Hian (M) is an established broker with a confirmed SC licence, Bursa Malaysia access and a regional group behind it, alongside a documented compliance record that a customer is entitled to see. A licence records what a firm is permitted to do; it is not a promise about service or outcomes. Check which UOB Kay Hian entity you are dealing with, read the product documents you are given, and keep your own record of what you were told.
UOB Kay Hian Securities (M) Sdn Bhd 是 Bursa Malaysia Participating Organisation，属于具有区域研究和市场能力的集团，为投资者提供马来西亚股票市场接入。
2024 年 11 月，SC 就向四名高净值人士销售结构性产品，对 UOB Kay Hian Securities (M) Sdn Bhd 采取行政行动。SC 指公司未取得所需授权、未登记相关披露文件、未提供产品说明摘要，并在购买意向表格作出误导性陈述；三项违规合计罚款 RM405,000。
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2021 年较早的行动涉及公司担任 GETS Global Bhd 收购要约的主要顾问。SC 指出推定一致行动关系、合规意见和文件方面存在不足，并谴责公司及要求检讨程序。
公司层面的行动应与个人案件分开。2024 年，SC 撤销一名前 UOB Kay Hian Wealth Advisors 财务规划师的 CMSRL，原因是其执照申请含虚假及误导声明；行动针对个人。
UOB Kay Hian 是具 Bursa Malaysia 接入和区域能力的受监管券商。评估时应同时考虑其优势、监管纪录、具体交易法人和相关风险。
Saya telah meneliti UOB Kay Hian (M) Sdn. Bhd., salah sebuah firma pembrokeran saham mapan yang beroperasi di Malaysia, dan ada beberapa faktor yang wajar dipertimbangkan apabila menilainya.
UOB Kay Hian (M) Sdn. Bhd. memegang Capital Markets Services Licence daripada Securities Commission Malaysia, eCMSL/A0018/2007, yang dibaca SmartChecker dalam daftar awam SC pada 2026-09-23. Lesen itu meliputi urus niaga sekuriti, urus niaga derivatif, penjelasan, nasihat kewangan korporat, nasihat pelaburan, perancangan kewangan dan urus niaga skim persaraan swasta. Ia merupakan Participating Organisation Bursa Malaysia dan mengendalikan platform UTRADE di sini, dengan sokongan penyelidikan dan jangkauan serantau kumpulan UOB Kay Hian yang lebih luas.
Baca ulasan penuhTunjuk kurang
Satu kekeliruan wajar dijelaskan terlebih dahulu. UOB Kay Hian bukan bank itu. United Overseas Bank (Malaysia) Berhad ialah syarikat berasingan yang dilesenkan oleh Bank Negara Malaysia, dan United Overseas Bank Limited di Singapura pula syarikat yang lain. Penalti yang dikenakan ke atas mana-mana bank itu bukan penalti terhadap firma pembrokeran ini, dan tiada apa-apa di halaman ini patut dibaca begitu.
Pelabur juga harus mengetahui sejarah kawal selia firma ini sendiri. Pada 25 November 2024, Securities Commission Malaysia mengambil tindakan pentadbiran terhadap UOB Kay Hian Securities (M) Sdn Bhd berhubung produk berstruktur yang dijual kepada empat individu berharta tinggi. SC menyatakan firma itu menjualnya tanpa terlebih dahulu memohon kebenaran SC, tidak mendaftarkan dokumen pendedahan, tidak menyediakan lembaran sorotan produk, dan membuat kenyataan yang mengelirukan dalam dokumen tersebut. Firma itu ditegur bagi setiap pelanggaran dan dikenakan penalti berjumlah RM405,000.
Satu tindakan terdahulu, pada 30 April 2021, berkaitan peranannya sebagai penasihat dalam satu pengambilalihan. SC mendapati ketidakpatuhan terhadap Rules on Take-overs, Mergers and Compulsory Acquisitions dan seksyen 221 Capital Markets and Services Act 2007, menegur firma itu, dan mengarahkannya menyemak semula cara ia mengenal pasti pihak yang bertindak secara bersepakat serta melapor kepada lembaganya.
Tindakan pada peringkat syarikat perlu dipisahkan daripada tindakan terhadap individu. Pada 7 Mac 2024, SC membatalkan lesen bekas perancang kewangan yang bertugas di UOB Kay Hian Wealth Advisors (M) Sdn Bhd kerana membuat pengisytiharan palsu dalam permohonan lesennya. Tindakan itu terhadap individu berkenaan, dan bukan dapatan bahawa syarikat pembrokeran saham itu melakukan perkara yang sama.
Secara keseluruhan, UOB Kay Hian (M) ialah broker mapan dengan lesen SC yang disahkan, akses Bursa Malaysia dan sokongan kumpulan serantau, di samping rekod pematuhan yang terdokumentasi dan berhak dilihat oleh pelanggan. Lesen merekodkan apa yang dibenarkan untuk dilakukan sesebuah firma; ia bukan janji tentang perkhidmatan atau hasil. Semak entiti UOB Kay Hian mana yang anda berurusan dengannya, baca dokumen produk yang diberikan kepada anda, dan simpan rekod anda sendiri tentang apa yang diberitahu kepada anda.
People also ask
Is UOB Kay Hian (M) Sdn. Bhd. licensed in Malaysia?
UOB Kay Hian (M) Sdn. Bhd. holds Capital Markets Services Licence eCMSL/A0018/2007 from the Securities Commission Malaysia. SmartChecker read the SC's Public Register of Licence Holders and Registered Persons on 2026-09-23, where the licence is shown as valid. A licence records what a company is permitted to do; it says nothing about how it treats its customers.
View recorded sources and dates ↗Is UOB Kay Hian (M) Sdn. Bhd. on an alert list?
SmartChecker does not hold a completed alert-list check for this company yet.
View recorded sources and dates ↗What services does UOB Kay Hian (M) Sdn. Bhd. provide?
The SC register lists UOB Kay Hian (M) Sdn. Bhd.'s regulated activities as Dealing in securities; Dealing in derivatives; Clearing; Advising on corporate finance; Investment advice; Financial planning; Dealing in private retirement schemes. These are the activities its licence permits, not a full list of the products it sells.
View recorded sources and dates ↗Is UOB Kay Hian (M) Sdn. Bhd. safe to use?
Yes, UOB Kay Hian (M) Sdn. Bhd. is a legitimate and regulated trading platform, though the specific safety and protection schemes.
View recorded sources and dates ↗Can I open an account with UOB Kay Hian (M) Sdn. Bhd.?
Yes, you can open an account with UOB Kay Hian (M) Sdn. Bhd..if you meet the eligibility criteria. UOB Kay Hian (M) Sdn. Bhd. is fully licensed and operational in Malaysia
View recorded sources and dates ↗All reviews
Reviews are written by SmartChecker members about their own experience and checked against our review rules. No company can pay to add, change or remove one.
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