Institution record
CLSA
CLSA Premium Limited.
- Source score
- 1.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (financial institutions and registrants headquartered in the united states and canada) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing CLSA against peer institutions in our financial institutions and registrants headquartered in the united states and canada dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| CLSA (this record) | ASICFSPR | 0 / 2 | Risk level not supplied | 1.0 | 0 |
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)Financial Crimes Enforcement Network (FinCEN)ASIC+8 | 3 / 11 | Risk level not supplied | — | 0 | |
IIROCFinancial Conduct AuthorityNBRB+2 | 5 / 5 | Risk level not supplied | 6.0 | 0 | |
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)ASICMISA | 3 / 3 | Risk level not supplied | 6.0 | 0 | |
Financial Transactions and Reports Analysis Centre of Canada (FINTRAC)ASICVFSC | 3 / 3 | Risk level not supplied | 6.0 | 0 | |
Financial Crimes Enforcement Network (FinCEN)CYSECMFSA+3 | 6 / 6 | Risk level not supplied | 5.0 | 0 |
CLSA: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is CLSA's regulatory licence status and supervisory authorisation?
In our imported dataset, CLSA (legal entity reference: CLSA Premium Limited.) holds 2 recorded licence entries, of which 0 carry a "regulated" status and 0 are marked regulated or registered: ASIC (Australian Securities and Investments Commission) — licence 000331813, status: expired; FSPR (Financial Service Providers Register) — licence FSP1762, status: revoked. 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 ASIC, FSPR public register.
Which of CLSA's jurisdictions and licences fall within this site's regulatory coverage?
CLSA is registered at Suites 7501 & 7508, 75/F, International Commerce Centre, 1 Austin Road West, Kowloon, Hong Kong and tracked under our financial institutions and registrants headquartered in the united states and canada scope based on its institutional service profile (Forex, precious metals, commodities, stock CFD trading, credit CFDs) rather than a domestic focus licence. Its 2 recorded licences (ASIC, FSPR) should be evaluated for cross-border passporting and local solicitation rules.
What is CLSA's institutional risk classification, enforcement exposure, and score profile?
CLSA carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 1.0, risk & licensing: 1.0, brand: 1.0, market influence: 1.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts and 1 licence record with elevated status flags (FSPR: revoked). 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 CLSA's platforms, entity structure, and complaints?
Before allocating capital or executing trades with CLSA, institutional and retail allocators should: (1) confirm the domain (clsapremium.com) 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 ASIC.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from Americas Firm Ledger relevant to CLSA's supervisory scope.
Federal Securities Filings
Rule 15c3-1 Net Capital Haircut Table — Capital Buffer Policy: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of rule 15c3-1 net capital haircut table focusing on capital buffer policy. Covers statutory register tie-out (NFA-BASIC), 4.8 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
CAT Audit Trail Timestamp Sync — EDGAR Filing Reconciliation: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of cat audit trail timestamp sync focusing on edgar filing reconciliation. Covers statutory register tie-out (NFA-BASIC), 6.0 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.
Federal Securities Filings
CFTC & NFA Commodity Pool Operator (CPO) Oversight: De Minimis Exemption 4.13(a)(3) vs. Full Registration
How quantitative hedge funds and crypto-derivative asset managers maintain compliance with CFTC margin thresholds without triggering full CPO overhead.
Federal Securities Filings
State MSB Multi-License Matrix — Prudential Ratio Stress: 2026 Institutional Audit & Desk Controls
2026 institutional desk audit of state msb multi-license matrix focusing on prudential ratio stress. Covers statutory register tie-out (NFA-BASIC), 14.3 bps quantitative benchmarks, mathematical calibration, and compliance verification workflows.