MASHINIi

UP Fintech Holding Limited.

TIGR.US | Security and commodity contracts brokerage

UP Fintech Holding Limited, operating as Tiger Brokers, is an online brokerage firm focusing on global investors. The company provides trading services, including equities, options, futures, and other financial instruments, primarily to Chinese investors. Tiger Brokers offers a technology-driven pla...Show More

Ethical Profile

Mixed.

Is UP Fintech Holding Limited (Tiger Brokers) ethical? The company presents a mixed ethical profile, particularly concerning its technological and compliance practices. While Tiger Brokers (HK) has achieved ISO/IEC 27001 certification, demonstrating a commitment to enterprise security with military-grade encryption and robust monitoring systems, its New Zealand entity has faced significant regulatory challenges. Reports suggest Tiger Brokers (NZ) was linked to NZ$60.8 million in transactions without adequate Customer Due Diligence (CDD) and Anti-Money Laundering (AML) checks, resulting in substantial fines for compliance failures. This indicates serious lapses in security protocols and regulatory adherence in some operational areas.

Value Scores

Better Health for All0
-100100
Fair Money & Economic Opportunity-30
-100100
Fair Pay & Worker Respect0
-100100
Fair Trade & Ethical Sourcing0
-100100
Honest & Fair Business0
-100100
Kind to Animals0
-100100
No War, No Weapons0
-100100
Planet-Friendly Business0
-100100
Respect for Cultures & Communities0
-100100
Safe & Smart Tech0
-100100
Zero Waste & Sustainable Products0
-100100

Better Health for All

0

UP Fintech Holding Limited (Tiger Brokers) operates as an online brokerage firm, providing trading services and investment banking.

1
Its core business activities are financial in nature and do not directly involve health-related products, services, or research.
2
Therefore, the company's operations are not applicable to the KPIs under the 'Better Health for All' value, as defined by the rubric. No evidence was found in the provided articles to suggest any direct positive or negative impact on health outcomes, health product accessibility, health data management, or health crisis response. Consequently, all relevant KPIs are scored as 0, indicating that the company's activities are neutral or not applicable to this ethical value.

Fair Money & Economic Opportunity

-30

The company offers basic financial information through occasional workshops and educational materials. In Hong Kong, it launched educational courses like "Advanced Class for Hong Kong ETFs" and "Investment Strategies for Hong Kong ETFs."

1
The Tiger Trade App includes an Options Channel for learning, and local offline events and exhibitions are held in Hong Kong.
2
The AI chatbot, TigerGPT, has addressed over 100,000 user questions with an 80% satisfaction rate, referencing real-time financial data.
3
However, the reach of these programs to customers is not quantified. The company operates in Singapore, New Zealand, the US, Hong Kong, Australia, and Mainland China, and is expanding its presence in these markets.
4
The company does not operate physical financial service access points, making the geographic inclusion KPI not applicable. The Tiger Trade App has enhancements for an all-in-one global investment experience, and TigerAI provides personalized insights.
5
Fundamental analysis tools are also available. The company's products require middle school level reading (grade 8-9), indicating that a simplification project is underway.

Fair Pay & Worker Respect

0

No evidence available to assess UP Fintech Holding Limited on Fair Pay & Worker Respect.

Fair Trade & Ethical Sourcing

0

No evidence available to assess UP Fintech Holding Limited on Fair Trade & Ethical Sourcing.

Honest & Fair Business

0

No evidence available to assess UP Fintech Holding Limited on Honest & Fair Business.

Kind to Animals

0

No evidence available to assess UP Fintech Holding Limited on Kind to Animals.

No War, No Weapons

0

No evidence available to assess UP Fintech Holding Limited on No War, No Weapons.

Planet-Friendly Business

0

No evidence available to assess UP Fintech Holding Limited on Planet-Friendly Business.

Respect for Cultures & Communities

0

No specific, concrete data points were found in the provided articles to assess UP Fintech Holding Limited against any of the KPIs for Respect for Cultures & Communities. The articles discuss general ESG risk ratings and carbon emissions but do not provide information on community engagement, cultural impact, local employment, grievance mechanisms, or any other specific metrics related to cultural and community respect.

1

Safe & Smart Tech

0

No specific, quantifiable evidence directly attributable to TIGR.US (UP Fintech Holding Limited) was found in the provided articles for any of the Safe & Smart Tech KPIs. Articles discussing 'Tiger Brokers (NZ)' and 'Tiger Brokers (HK)' were not considered as they refer to specific subsidiaries without explicitly stating company-wide scope for TIGR.US, as per the scoring rules. Article 5 refers to 'Tiger Global', which is a distinct entity from TIGR.US.

1
Other articles provided general industry information or were not relevant to the company being assessed.

Zero Waste & Sustainable Products

0

No evidence available to assess UP Fintech Holding Limited on Zero Waste & Sustainable Products.

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AI-generated analysis based on publicly available data. Not financial advice. Ratings are expressions of opinion derived from automated models and may contain inaccuracies. See our Risk Disclosure for full details.