CySEC吊销Atlas Capital金融服务有限责任公司CIF执照

外汇新闻 8年前 (2016) admin
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声明日期:2016年4月7日

CySEC决议日期:2016年4月7日

关于:Atlas Capital金融服务有限责任公司

相关法规:投资服务活动和监管市场法规

主题:吊销CIF执照

塞浦路斯证券交易委员会(简称“CySEC”)发布声明,暂停经授权的Atlas Capital金融服务有限责任公司(简称“公司”)授权号码:085/07CIF执照。根据2007年投资服务活动监管市场法规第26部分(2)条作为强制执行,并且委员会表示公司有违反第28部分(1)法规的嫌疑。由于公司的不合规授权和业务操作,根据法规第18部分(2)条,段落(c)——投资服务表现的连续性和合规性,(f)段——使用有效的程序对风险进行认证,管理、监测和报告,(j)段——客户资金安全,并且,法规中第18段(1)(f)——充分安排和维护客户资金安全,以上法规制约美国证券交易委员会对授权和运营的CIF执照。

上述决定是由于公司违反条款,可能危及公司的客户利益和投资者利益或一般资本市场的常规操作。

CyCES发布决定的即日起一个月内,Atlas Capital金融服务有限责任公司需根据上述要求采取措施。

强制暂停授权生效后,该公司:

1 不可操作任何业务,不能发展任何新客户。

2 不可以接受或传送、执行任何呵护订单以及金融工具的购买。

3 不可在塞浦路斯或塞浦路斯以外(包括成员国和第三方国家)提供、执行任何投资服务。

4 不可作为投资服务提供商进行推广或联合推广、发布声明。

5 须在其公司所有相关网站发布CIF执照吊销声明。

6 必须遵照现有客户要求,不考虑是否违反法规第26部分(5)条

如果客户要求,立即或提前关闭所有相关客户头寸。归还所有现有客户资金连同利润。

Announcement date: 07.04.2016

CySEC Decision date: 07.04.2016

 Regarding: Atlas Capital Financial Services Ltd

 Legislation: The Investment Services and Activities and Regulated Markets Law

Subject: Suspension of CIF license

The Cyprus Securities and Exchange Commission (‘CySEC’) announces that the authorisation of the Cyprus Investment Firm ‘Atlas Capital Financial Services Ltd’ (‘the Company’), with number 085/07, is suspended, pursuant to section 26(2) of the Investment Services and Activities and Regulated Markets Law of 2007, as in force (‘the Law’), as there are suspicions of an alleged violation of section 28(1) of the Law, due to the Company’s possible non compliance at all times with the authorization and operating conditions, as laid down in section 18(2), paragraphs (c) – continuity and regularity in the performance of investment services, (f) – effective procedures for identifying, managing, monitoring and reporting of the risks and (j) – safeguarding of clients funds, of the Law, and in paragraph 18(1)(f) – adequate arrangements for safeguarding of clients funds, of Directive DI144-2007-01 of 2012 of the Securities and Exchange Commission for the Authorisation and Operating Conditions of CIFs.

The above decision was reached due to the fact that the aforementioned alleged violations may possibly endanger the Company’s clients’ interests or the investor interests or generally the regular operation of the capital market.

Within one (1) month from the date of CySEC’s Decision, Atlas Capital Financial Services Ltd has to take actions in order to comply with the aforementioned provisions.

While the suspension of the authorisation is in force, the Company:

Cannot enter into a business relationship with any person and cannot take any new clients.Cannot receive, transmit or execute any orders from clients for buying any financial instruments.Cannot provide/perform any investment services in Cyprus or outside Cyprus (in member states and third countries).Cannot advertise itself as investment services provider and make advertising campaigns and announcements.Must upload on all of its websites that its CIF license has been suspended.Must, if existing clients so wish, without being considered in violation of section 26(5) of the Law:Close all open positions in relation to clients’ contracts, or of its own, on their maturity date or on an earlier date if the client so wishes.Return to existing clients all of their funds and profits earned.

版权声明:admin 发表于 2016年4月12日 下午 11:18。
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