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    【公告】关于调整AR牌照在天眼评分算法中权重的说明

    外汇天眼   |   2019-06-06 10:10:56

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    摘要:随着市场上AR牌照逐渐增多,且针对AR牌照的客诉相应增多,加之其实质上并非监管牌照。故外汇天眼认为其牌照含金量对于投资者的参考价值也相应有所变动。

      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:

      随着市场上AR牌照逐渐增多,且针对AR牌照的客诉相应增多,加之其实质上并非监管牌照。故外汇天眼认为其牌照含金量对于投资者的参考价值也相应有所变动。

      外汇天眼现决定对AR牌照在天眼评分算法中的权重做出调整,公告内容如下:

      About AR license:关于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.

      所谓AR即Appointed Representative(授权代表),英国金融市场行为监管局(FCA)对AR牌照的定义是指由受FCA监管公司(这里我们称之为委托主体)授权行事的公司或个人,该公司或个人并不直接受FCA监管。

      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.

      澳大利亚的监管框架很大程度上模仿了英国,AR的定义几乎一致,即代表澳大利亚金融服务牌照(AFSL)持有方提供特定金融服务的授权代表。

      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.

      对一些资金较少的公司或个人来说,负担一张全牌的成本实在太高,因此与持有全牌的经纪商合作,成为其授权代表成了国内新外汇公司非常热门的选择。

      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和主体经纪商之间必须有书面合约,主体经纪商将对AR的合规性完全负责,包括AR提供的产品服务、咨询建议和公平对待客户,因此,主体经纪商必须充分考察一家公司或个人是否有足够的资金和能力成为其AR。

      AR in the UK

      1英国的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.

      通常来说,成为AR的个人不需要获得FCA的授权。不过,成为AR的公司则按照运营模式的不同,可能需要获得授权。这取决于这个AR是否有自己独立的运营和业务、如何处理客户交易、以及从主体经纪商获得多少权限。

      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大致上可以分为两种,一种是介绍型AR(introducer appointed representative/IAR),它仅将客户介绍到主体经纪商。还有一种是独立运营的AR。独立运营的AR使用自己的品牌开展业务,它需要获得FCA的授权,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).

      由于主体经纪商对AR的所有活动负责,AR的客户开户需要通过主体经纪商的合规审核。客户的交易订单通常也是由主体经纪商处理。也因为此,只要主体经纪商受到英国FCA的监管,那么AR的客户也可以享受到FCA和英国金融服务补偿计划(FSCS)的保护。

      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监管下的AR可以是个人,可以是公司,也可以是合作伙伴和受托人。信托基金无法成为AR,不过基金的受托人可以获得AR授权。ASIC监管下的AFSL持有方无法称为另一家公司的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.

      分授权制度:在ASIC制度下,AR为提供金融服务,还会对其内部主管和员工进行分授权,这种授权需要获得AFSL持有方的同意。在这种情况下,进行“分授权”的AR被称为“授权人”。

      一个人可以获得2个及以上的AFSL持有方的AR授权,但是他必须向这些AFSL持有方公开其它主体经纪商,并征得它们互相之间的同意。

      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规定,任何时候AFSL持有方或者“授权人”向AR出具书面通知要求停止服务,那么该AR授权即自动撤销。

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