UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of April 2019
Commission File Number: 001-38833
UP Fintech Holding Limited
18/F, Grandyvic Building, No. 16 Taiyanggong Middle Road, Chaoyang District
Beijing, 100020
Peoples Republic of China
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F x Form 40-F o
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): o
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): o
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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UP Fintech Holding Limited | |
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By: |
/s/ Tianhua Wu |
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Name: |
Tianhua Wu |
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Title: |
Chief Executive Officer and Director |
Date: April 16, 2019
EXHIBIT INDEX
Exhibit |
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Description |
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99.1 |
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Press Release |
UP Fintech Holding Limited Names Katherine Wei Wu as Global Chief Compliance Officer
BEIJING, Apr. 16, 2019 UP Fintech Holding Limited (UP Fintech or the Company) (NASDAQ: TIGR), a leading online brokerage firm focusing on global Chinese investors, today announced the appointment of Katherine Wei Wu as its Global Chief Compliance Officer, a new position in the Company. Ms. Wu will oversee the groups corporate compliance function.
Ms. Wu has 20 years experience in compliance including various compliance management positions in a number of leading international financial institutions such as Mitsubishi UFJ Securities (USA), RBS Securities Inc, Barclays Capital Inc, etc. Ms. Wu is an expert of financial market laws and regulations in the U.S., Europe and Hong Kong. She holds a Juris Doctor (JD) degree from Fordham University School of Law and a Bachelor of Arts degree in economics from Mount Holyoke College.
Mr. Tianhua Wu, Chief Executive Officer and Director of UP Fintech, stated, We are pleased to welcome Katherine to join our team as the Global Chief Compliance Officer. Her background as a senior compliance executive comes with a stellar reputation. We are confident that with her extensive industry experience, Katherine will help us uphold the highest professional standards and propel our company to the next level of growth.
About UP Fintech Holding Limited
UP Fintech Holding Limited is a leading online brokerage firm focusing on global Chinese investors. The Companys proprietary mobile and online trading platform enables investors to trade in equities and other financial instruments on multiple exchanges around the world. The Company offers innovative products and services as well as a superior user experience to customers through its mobile first strategy, which enables it to better serve and retain current customers as well as attract new ones. The Company offers customers comprehensive brokerage and value-added services, including trade order placement and execution, margin financing, account management, investor education, community discussion and customer support. The Companys proprietary infrastructure and advanced technology are able to support trades across multiple currencies, multiple markets, multiple products, multiple execution venues and multiple clearinghouses. For more information on the Company, please visit: https://ir.itiger.com.
Safe Harbor Statement
This article contains forward-looking statements as defined in the U.S. Private Securities Litigation Reform Act of 1995. These forward-looking statements can be identified by terminology such as will, expects, anticipates, aims, future, intends, plans, believes, estimates, likely to and similar statements. Statements that are not historical facts, including statements about the Companys beliefs, plans and expectations, are forward-looking statements. Forward-looking statements involve inherent risks and uncertainties. These risks and uncertainties and others that relate to the Companys business and financial condition are detailed from time to time in the Companys Securities and Exchange Commission filings, and can affect actual results. A number of factors could cause actual results to differ materially from those contained in any forward-looking statement. These forward-looking statements are made only as of the date indicated, and the Company disclaims any obligation to update or revise the information contained in any forward-looking statements, whether as a result of new information, future events or otherwise, except as required under applicable law.
Investor Relations Contact
UP Fintech Holding Limited
Email: ir@itiger.com
Tel: +1 (646) 308-1535
Jack Wang
ICR, Inc.
Email: tiger.ir@icrinc.com
Tel: +1 (646) 308-1535