CySEC 宣布与 Argus 股票经纪人达成 7 万欧元和解

Regulatory news

2024-07-20 09:36:24

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CySEC 宣布与塞浦路斯投资公司（ CIF ） Argus Stockbrokers Ltd 达成 70, 000 欧元的和解协议.

塞浦路斯证券交易委员会（ CySEC ）今天宣布与塞浦路斯投资公司（ CIF ） Argus Stockbrokers Ltd 达成 70, 000 欧元的和解协议.

根据 2009 年《塞浦路斯证券交易委员会法》第 37 (4) 条， CySEC 可以就任何有合理理由认为违反或可能违反 CySEC 监督立法的规定的违反或可能违反、作为或不作为达成和解协议.

与 Argus Stockbrokers Ltd 达成的和解涉及可能违反 2007 年《防止和制止洗钱和恐怖主义融资法》（ “法律 ” ）和 CySEC 发布的《防止洗钱和恐怖主义融资指令》（“ 指令 ” ），因为这些出现在 2019 年 11 月进行的检查中.

更具体地说，达成的和解涉及对公司在以下方面的合规性的评估：

article 58(a) of the Law regarding the application of adequate and appropriate policies, controls and procedures, in relation to customer due diligence,
paragraph 5(d) of the Directive regarding Board of Directors’ responsibilities, and
paragraph 9(1)(d) of the Directive regarding Compliance officer’s duties.

该公司已经结清了 7 万欧元.

与和解协议有关的所有应付金额均被视为共和国财政部的收入（收入），不构成 CySEC 的收入.

Maria Nikolova

Maria has been engaged in journalism for more than 17 years, providing Forex industry coverage for the past 10 years. Before joining FNG she was Managing Editor at FinanceFeeds. Prior to that, she worked at LeapRate. Maria has a Philosophy degree from the St. Kliment Ochridski university in Sofia. She has specialized in Cognitive Science in Vienna. Her interests include psychology, AI, and linguistics.