金融监管机构重塑世界零售外汇行业

汇商资讯 6年前 (2015) admin
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IG Group,TradeKing,盛宝银行,Exness 以及 ACM Gold均出现在过去一周的热门文章中。
市场监管部门有权改变委托方和代理方在他们各自领域的运作方式。尽管有很多人还不了解线上外汇交易是如何运作并且往往忽视实质性问题,一些监管部门就采取了进一步的措施。这一周最受人追捧的事莫过于有大量的例证表明当局是如何来改变这个行业的。
MB Trading撤下美国国家期货协会(NFA)许可证
周一,加利福利亚代理商MBTrading通知客户该公司将会把外汇交易操作合并给新的所有者,TradeKing外汇市场. 这是继MB交易商撤下NFA许可证巩固美国市场的又一步行动。
在此行动之前,MB交易商曾是美国第七大外汇代理商,并持有百分之3.3的市场份额。而如今,这部分也将转到最大的代理商名下。TradeKing的外汇部门则成为了GAIN Capital’s FOREX.Com 品牌的中介经纪人。
恢复ACM Gold 的许可证
周二,金融服务委员会(FSB)南非监管部门恢复了ACM Gold 外汇交易的交易许可证。其中外汇交易的许可证是在其众多客户和中介经纪人待审期间被暂停的。
ACM Gold主席Irfan Paedesi曾对Finance Magnates发表过评论,“过去的这几周发生的事真是有趣,对于我们新上任10天不到的CEO Dano Fotiadis绝对算得上是曲折复杂.
SunGard扩建基础设施
周三,据报道称在经纪商全球扩张时期,金仕达将会一直为Exness提供后台支持。此外金仕达的解决方案中也将会为Exness提供自动化,多样化的,可伸缩的基础设施。
报道还称盛宝银行将SunGard IntelliMatch Cash 和Liquidity Monitor作为对外账户以自动监控日内流动性,同时报告和预算进程。其目的是为了积累资本,将亏损降到最低,优化资金分布,以获得更高投资回报。
登富特(NZGFT)澳大利亚许可证被吊销
周四,澳大利亚证券投资委员会(ASIC)吊销了LSG Group的金融服务许可证,紧接着便开展了调查。基于这些发现可以确定此公司在展示其公司产品的网站上做了假。
此外,ASIC调查到一个账户上有10万美金存款并与之相关联的海外账户。发现经纪佣金并没有全部用于提供有效,诚实并且公平的金融服务。
迪拜新的零售许可证
周五,Finance Magnates独家报道了迪拜金融服务管理局(DFSA)签发了一个新的零售许可证给IG Group。这个许可证允许该公司进入阿联酋市场,而且客户可以通过其子公司使外汇交易杠杆达到最大化——1:20。
新许可证到现在才一起出炉的有这类型的注册。这一类型的注册明确地以散客为目标,这也是近期才开始出现的。IG Group也是在迪拜有了立足点才等到了它的出现。
 
Financial Watchdogs Reshape Face of Retail Forex Industry Worldwide
IG Group, TradeKing, Saxo Bank, Exness and ACM Gold all appear in the passing week’s top articles.
Market regulators have enormous power to change the way clients and brokers operate in their respective jurisdictions. While many do not understand how online FX trading works and usually ignore real issues, some regulators take a proactive approach. The most popular stories this week provided a number of examples of how authorities can shape the industry.
MB Trading Drops NFA License
On Monday, California-based broker MB Trading notified its clients that the company will be consolidating its forex trading operations under its new owner, TradeKing Forex. This is another step in the consolidation of the U.S market as MB Trading is dropping its NFA license.
Before this move MB Trading was the seventh largest forex broker in the U.S with a 3.3% market share. Now that segment will go to one of the largest players with TradeKing’s forex division being an introducing broker to GAIN Capital’s FOREX.Com brand.
ACM Gold’s License Reinstated
On Tuesday, the South African regulator, the Financial Services Board (FSB), reinstated the trading licence of ACM Gold and Forex Tradingwhich was suspended after a number of its clients and introducing brokers came under scrutiny.
Irfan Pardesi, the Chairman of ACM Gold commented to Finance Magnates, “It has been an interesting ride over the last few weeks…It was such an amazing learning curve for our new CEO Dano Fotiadis since the event unfolded within ten days of him assuming the position…”
SunGard’s Expanding Infrastructure
On Wednesday, it was reported that SunGard will be providing back-office support for Exness amidst a period of global expansion for the broker. In addition, SunGard’s solutions will provide Exness with automation, multi-asset-class capabilities, and scalable infrastructure.
It has also been announced that Saxo Bank has chosen SunGard IntelliMatch Cash and Liquidity Monitor to automate intraday liquidity monitoring for external accounts, reporting and forecasting processes. It is designed to help capitalize on cash surpluses, minimize penalties on shortfalls and optimize the distribution of funds for higher returns.
NZGFT’s Australian License Revoked
On Thursday, the Australian Securities and Investments Commission(ASIC) cancelled the financial service licence (AFSL) of LSG Group, following an investigation. Among the findings is that the firm made deceptive representations on its websites concerning products it offered.
Additionally found by ASIC is that the brokerage failed to do all things necessary to conduct financial services in an efficient, honest and fair manner in relation to a deposit of US$100,000 received from an overseas client.
Dubai’s New Retail License
On Friday, Finance Magnates exclusively reported about IG Group obtaining a retail license from the Dubai Financial Services Authority (DFSA). The license allows the company to market across the UAE and onboard clients through its local subsidiary with a maximum leverage of 1:20.
What stands out with the new license is that up until now, this type of registration has specifically addressed the targeting of retail clients, which hasn’t existed up until recently. IG Group waited out until it was in place to establish its foothold in the region.
 

 
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