Institution record
CLSA
CLSA Premium Limited.
- Source score
- 1.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms with licence warnings, enforcement flags or complaints) are listed first. Check each one on the regulator's own register.
Peer source record comparison
Compare imported fields for CLSA and other records in our firms with licence warnings, enforcement flags or complaints dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| CLSA (this record) | FSPRASIC | 0 / 2 | Risk level not supplied | 1.0 | 0 |
Financial Services CommissionFSPR | 0 / 2 | Risk level not supplied | 2.0 | 0 | |
FSPR | 0 / 1 | Risk level not supplied | 6.0 | 0 | |
FSPR | 0 / 1 | Risk level not supplied | 4.0 | 2 | |
Financial Services Authority SeychellesASIC | 0 / 2 | Risk level not supplied | 4.0 | 0 | |
FSCAFinancial Conduct AuthorityFSA+3 | 4 / 6 | Risk level not supplied | 7.0 | 1 |
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?
The imported dataset contains 2 licence entries associated with CLSA (legal entity reference: CLSA Premium Limited.); 0 are labelled "regulated" and 0 are labelled regulated or registered: FSPR (Financial Service Providers Register) — licence FSP1762, status: revoked; ASIC (Australian Securities and Investments Commission) — licence 000331813, status: expired. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official FSPR, ASIC public register.
Which of CLSA's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on firms with licence warnings, enforcement flags or complaints. 1 of CLSA's 2 licence records fall directly within this jurisdictional mandate: FSPR (licence FSP1762, revoked, entity: CLSA PREMIUM NEW ZEALAND LIMITED). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
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 imported source lists 0 exposure entries 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 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FSPR.