ASIC 禁止外汇和 CFD 经纪商 XTrade 的前董事
ASIC 已禁止 XTrade 的前董事和负责经理.AU Pty Ltd 、 Shay Zakhaim 先生和 Anthony Anderson 先生.
澳大利亚证券和投资委员会 （ ASIC ） 禁止 XTrade 的前董事和负责经理.AU Pty Ltd, Mr Shay Zakhaim and Mr Anthony Anderson, from carrying of a financial services business, either as a director or responsible manager,分别为三年和五年.
XTrade 为客户提供了差价合约 （ CFDs ） 和外汇合约 （ FX 合约 ） 交易的机会.
ASIC 在发现 XTrade 在 2018 年 6 月至 2022 年 9 月期间未能遵守金融服务法律并从事不合情理的行为后 ， 还取消了 XTrade 的澳大利亚金融服务 （ AFS ） 许可证.
作为董事和负责经理 ， Zakhaim 先生和 Anderson 先生负责确保 XTrade 遵守金融服务法律 ， 并对其代表进行监督和监督.
ASIC 发现 Anderson 先生和 Zakhaim 先生参与了 XTrade 的失败 ：
- have adequate arrangements to manage conflicts of interest, which encouraged aggressive sales tactics by XTrade’s representatives towards Australian clients; and
- take reasonable steps to ensure its representatives complied with financial services laws until at least February 2022, including XTrade’s representatives using unfair tactics to entice Australian clients to deposit and trade with more funds than they initially wanted to.
监管机构表示 ， 有理由相信 Zakhaim 先生和 Anderson 先生不适合和适当 ， 也没有接受过足够的培训或没有能力提供金融服务 ， 担任或控制金融服务业务.
Zakhaim 先生和 Anderson 先生有权向行政上诉法庭提出上诉 ， 要求对 ASIC 的决定进行复审.
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.Related Posts
ASIC permanently bans Anass “Caesar” Abdalla from providing any financial services
SEC takes former CEO of Digital World Acquisition Corp to Court
ASIC secures Court ruling against Firstmac for breaches of new design and distribution provisions
‹ ASIC permanently bans Anass “Caesar” Abdalla from providing any financial services › SEC takes former CEO of Digital World Acquisition Corp to CourtLeave a Reply Cancel reply
免责声明：本文观点来自原作者，不代表Hawk Insight的观点和立场。文章内容仅供参考、交流、学习，不构成投资建议。如涉及版权问题，请联系我们删除。
