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    【公告】關于調整AR牌照在天眼評分算法中權重的說明

    外匯天眼   |   2019-06-06 10:10:56

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    摘要:隨著市場上AR牌照逐漸增多,且針對AR牌照的客訴相應增多,加之其實質上并非監管牌照。故外匯天眼認為其牌照含金量對于投資者的參考價值也相應有所變動。

      The Forex market has recently witnessed a proliferation of both AR license and investors‘ complaints against AR licensees. As the AR license isn’t essentially a regulatory license, WikiFX is reassessing AR licenses reference value for investors and makes the following announcement about weight adjustment of AR license for new reference of WikiFX rating:

      隨著市場上AR牌照逐漸增多,且針對AR牌照的客訴相應增多,加之其實質上并非監管牌照。故外匯天眼認為其牌照含金量對于投資者的參考價值也相應有所變動。

      外匯天眼現決定對AR牌照在天眼評分算法中的權重做出調整,公告內容如下:

      About AR license:關于AR牌照:

      The Financial Conduct Authority (FCA) in UK defines AR, or appointed representative, as any firm or individual authorized by an FCA licensee(AR principal broker) to act as its agent, but not directly regulated by FCA.

      所謂AR即Appointed Representative(授權代表),英國金融市場行為監管局(FCA)對AR牌照的定義是指由受FCA監管公司(這里我們稱之為委托主體)授權行事的公司或個人,該公司或個人并不直接受FCA監管。

      As Australias regulatory framework resembles that of UK to a large extent, ASIC(Australia) also offers a similar interpretation of AR as an authorized agent for AFSL licensee.

      澳大利亞的監管框架很大程度上模仿了英國,AR的定義幾乎一致,即代表澳大利亞金融服務牌照(AFSL)持有方提供特定金融服務的授權代表。

      Many emerging Forex brokers in China prefer to be an AR licensee by cooperating with MM licensee because they cant afford the high cost of obtaining an MM license.

      對一些資金較少的公司或個人來說,負擔一張全牌的成本實在太高,因此與持有全牌的經紀商合作,成為其授權代表成了國內新外匯公司非常熱門的選擇。

      AR must have a written contract with the AR principal broker, who is fully responsible for the compliance of AR including the products and services, consultation and impartiality towards customers. So the principal broker also has investigate to ensure a firm or individual is fully qualified as an AR in terms of capital and competence.

      AR和主體經紀商之間必須有書面合約,主體經紀商將對AR的合規性完全負責,包括AR提供的產品服務、咨詢建議和公平對待客戶,因此,主體經紀商必須充分考察一家公司或個人是否有足夠的資金和能力成為其AR。

      AR in the UK

      1英國的AR牌照:

      Generally individual can become AR without FCAs authorization. While, company that wants to become AR may need an authorization depending on whether it operates independently with its own business, how it handles the trade of customers and how many authorities it has obtained from the principal.

      通常來說,成為AR的個人不需要獲得FCA的授權。不過,成為AR的公司則按照運營模式的不同,可能需要獲得授權。這取決于這個AR是否有自己獨立的運營和業務、如何處理客戶交易、以及從主體經紀商獲得多少權限。

      There are roughly 2 types of AR. Introducer appointed representative(IAR), as the name suggests, introduces the customers to the principal broker. The other type of AR operates individually under its own brand, and needs the authorization from FCA, namely an FCA AR license.

      AR大致上可以分為兩種,一種是介紹型AR(introducer appointed representative/IAR),它僅將客戶介紹到主體經紀商。還有一種是獨立運營的AR。獨立運營的AR使用自己的品牌開展業務,它需要獲得FCA的授權,即拿到AR牌照。

      Since the principal broker is responsible for all activities of the AR, whose customer is subject to compliance review of the principal broker when opening an account, while customer‘s orders are also usually handled by the principal broker. And as long as the principal broker is under FCA(UK)’s regulation, the customer of its AR is also protected by FCA and the Financial Service Compensation Scheme(FSCS).

      由于主體經紀商對AR的所有活動負責,AR的客戶開戶需要通過主體經紀商的合規審核。客戶的交易訂單通常也是由主體經紀商處理。也因為此,只要主體經紀商受到英國FCA的監管,那么AR的客戶也可以享受到FCA和英國金融服務補償計劃(FSCS)的保護。

      AR in Australia:

      2澳洲的AR牌照:

      AR under ASIC(Australia)s regulation can be individual, firm or collaboration partner and trustee. Trust funds cannot be AR, but the trustee may get an AR license. In addition, AFSL licensee under ASIC regulation cannot be AR for another company.

      ASIC監管下的AR可以是個人,可以是公司,也可以是合作伙伴和受托人。信托基金無法成為AR,不過基金的受托人可以獲得AR授權。ASIC監管下的AFSL持有方無法稱為另一家公司的AR。

      Sub-authorization system: Under the ASIC system, AR also authorizes its internal director and employee in order to provide financial services. This authorization, known as sub-authorization, requires the consent of the AFSL licensees, and the AR that performs the “sub-authorization” is called the “authorizer”.One can obtain an AR license from two or more AFSL licensees, but must disclose other principal brokers to these AFSL licensees and obtain their mutual consent.

      分授權制度:在ASIC制度下,AR為提供金融服務,還會對其內部主管和員工進行分授權,這種授權需要獲得AFSL持有方的同意。在這種情況下,進行“分授權”的AR被稱為“授權人”。

      一個人可以獲得2個及以上的AFSL持有方的AR授權,但是他必須向這些AFSL持有方公開其它主體經紀商,并征得它們互相之間的同意。

      ASIC also provides that the AR license immediately becomes invalid once the AFSL licensee or the “authorizer” gives AR a written notice to terminate its service.

      ASIC規定,任何時候AFSL持有方或者“授權人”向AR出具書面通知要求停止服務,那么該AR授權即自動撤銷。

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