Falcon Brokers因客户资金问题收到CySEC禁令

汇商资讯 6年前 (2015) admin
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因涉嫌违反客户资金处理的相关规则,CySEC宣布暂停Falcon Brokers的执照。
塞浦路斯证券交易委员会(CySEC)已经宣布暂停Falcon Broker的经纪人交易执照直至下个月问题得到解决。禁令通知是根据CySEC“涉嫌违反法律的第28节,公司可能不合规,不符合法律第18(2)(i)授权条件(操作要求——客户资金)”发布的。
混合客户资金
虽然CySEC没有对潜在违规发布具体细节,投资服务法 18(2)(i)规定,“当持有的金融工具属于客户时,应做出适当的安排,维护客户的所有权。特别是在CIF的破产事件时,除非客户表示同意,尽量避免客户在个人账户中使用工具。”因此,违反了这条规定就意味着,Falcon Brokers在如何处理客户资金方面有违规嫌疑。
为了防止不当的挪用客户资金,一些主要的监管机构要求经纪人将客户的资产分成单独的账户。如果不这样做,内部经纪人的客户资产混合最终会导致PFG拥有者数百万美元的客户资金的损失。关于Falcon Brokers,该公司已经用一个月的时间来处理涉嫌违规的行为。
 
Client Funds an Issue as Falcon Brokers Receives CySEC Suspension Letter
For suspicion of violating rules regarding the handling of client funds, CySEC has announced that it is suspending Falcon Brokers’ license.
The Cyprus Securities and Exchange Commission (CySEC) has announced that they are suspending Falcon Broker’s broker-dealer license pending the correction of problems within the next month. The suspension notice was made due to what CySEC stated were “suspicions for an alleged violation of section 28(1) of the Law due to the Company’s possible non compliance with the authorization condition provided for in section 18(2)(i) of the Law (‘Operational requirements – Clients’ funds’).”
Co-Mingling Client Funds
While CySEC didn’t provide specific details of the potential violations, 18(2)(i) the Investment Services law states,“When holding financial instruments belonging to clients, to make adequate arrangements so as to safeguard clients’ ownership rights, especially in the event of the CIF’s insolvency, and to prevent the use of a client’s instruments on own account except with the client’s express consent.” As such, violating this rule would mean that Falcon Brokers is at fault for how they are handling client funds.
In order to prevent misappropriation of client funds, among regulations in place by major financial regulators are requirements for brokers to segregate customer assets into separate accounts. Failure to do such, and co-mingling customer assets with internal broker funds ultimately led to PFG’s owner’s ability to funnel out millions of dollars of client’s money. In regards to Falcon Brokers, the firm has been given one month to fix the alleged violations.
To learn more about CySEC’s suspicions, Finance Magnates reached out to Falcon Brokers for information, but as of publishing time, no one at the firm was available to comment.
 

 
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版权声明:admin 发表于 2015年10月24日 下午 9:45。
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