法国AMF官网发布的规则中，对福汇的品牌在法国的声誉成本处以最高罚款
法国金融市场监管，法国金融市场管理局（AMF）已经对福汇因违反当地法规采取惩罚性措施。
2014年9月以来法国监管机构一直在对某几点年的问题(2009年至2011年)进行调查。三位基金经理没有监管就FXCM的法国客户的账户进行管理。由三人介绍的113客户代理，使得福汇多年来获得了40万欧元的佣金(€393447 .84确切地说)。
我们上周报道,AMF10月16日对福汇举行了听证会,公布2015年有关调查。现在我们已经了解到,10月26日星期一，十天之后公众会议,监管机构的执行委员会决定对该公司——AMF训斥FXCM以及对福汇进行20万欧元的罚款。
AMF说经纪未能检查是否第三方管理其客户账户，执行订单代表他们必要的法律审批，提供投资组合管理服务他人的好处。通过这样做,”福汇不诚实守信,进行不专业的服务客户”的最佳利益,从而侵犯当地货币和金融的规定。
监管机构的裁决也公开在法国AMF网站上,对福汇的品牌在法国的声誉成本处以最高罚款。根据法国法律对于此类事件的规定,FXCM 将对AMF的裁决提起上诉,然而到目前为止没有给出任何指示,该公司计划这么做。
福汇发布的官方声明说：“有关客户的问题早在2009 – 2011年就存在了,该公司已经停止了与这些公司的交易。该公司还实施加强内部控制机制检查介绍经纪人和合作公司。”
French Regulator Slaps FXCM with €200,000 Fine
The ruling was made public on the AMF website in French, adding a reputational cost to FXCM’s brand in France on top of the monetary fine.
France’s financial market regulator, the Autorité des Marchés Financiers (AMF), has taken punitive action against Forex Capital Markets (NYSE:FXCM) over violations of its local regulations.
Since September 2014 the French watchdog has been investigating the issue that for a couple of years (between 2009 and 2011) three money managers who hadn’t been regulated were managing the accounts of FXCM clients in France. The trio introduced 113 clients to the broker and FXCM made about €400,000 in commision off of them over the years (€393,447.84 to be exact).
As we reported last week, the AMF held a hearing with the brokeron October 16, 2015 regarding its investigation. Now we have learned that just ten days after the public meeting, on Monday October 26, the regulator’s Enforcement Committee made a decision against the company – the AMF reprimanded FXCM as well as slapped it with a fine of €200,000.
The AMF says that the brokerage has failed to check whether third parties that managed its clients’ accounts and executed orders on their behalf had the necessary legal approval to provide portfolio management services for the benefit of others. By doing so, “FXCM did not act honestly, fairly and professionally, serving the best interests of customers” and thereby infringed the provisions of the local Monetary and Financial Code.
The regulator’s ruling was also made public on the AMF website in French, adding a reputational cost to FXCM’s brand in France on top of the monetary fine. According to the French law regarding such matters, FXCM may appeal the AMF’s decision, however no indication was given so far that the company plans to do so.
FXCM provided an official comment on issue, saying “this matter pertains to clients back in 2009-2011, the company has since stopped doing business with these firms. The company has also implemented enhanced internal control mechanisms of checking introducing brokers and partner companies.”
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