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UBS PRINCIPAL CAPITAL ASIA LTD.
MERCHANT_BANKWhat is UBS PRINCIPAL CAPITAL ASIA LTD.'s regulatory standing?
Regulatory record
UBS PRINCIPAL CAPITAL ASIA LTD. holds a Merchant Bank licence issued by the Monetary Authority of Singapore.
Licence
- Status
- Active
- Permitted activities
- Dealing In Capital Markets ProductsAdvising on Investment Products●MAS FID · 17 Oct 2026
Enforcement history (5 years)
Not yet checked. We have not ingested MAS enforcement records, so this page makes no claim either way. Search MAS enforcement actions for UBS PRINCIPAL CAPITAL ASIA LTD. directly.
Investor Alert List
Not yet checked against the MAS Investor Alert List.UBS PRINCIPAL CAPITAL ASIA LTD. is listed in the MAS Financial Institutions Directory, which names licensed and exempt institutions.
Register history
What the MAS Financial Institutions Directory showed in each snapshot we hold. We have kept snapshots since 29 Apr 2026, so this is not the date a licence was granted. Register-wide changes are on the register changes page.
| Snapshot | Listed as |
|---|---|
| 29 Apr 2026 | Exempt Capital Markets Services Entity, Exempt Financial Adviser, Merchant Bank |
| 17 Oct 2026 | Exempt Capital Markets Services Entity, Exempt Financial Adviser, Merchant Bank |
Dispute resolution (FIDReC)
FIDReC's member list, as read on 17 October 2026, does not show UBS PRINCIPAL CAPITAL ASIA LTD. under this name. This does not say the firm has no dispute-resolution scheme: FIDReC may list it under another name, and firms that serve only accredited or institutional investors are not required to join. Ask the firm which scheme it belongs to, or searchFIDReC's list yourself.
●FIDReC member list · 17 Oct 2026How FIDReC works