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监管细则
第一、监管细则
第二、 RFED报告递交要求
其他报告(若适用)
1. 资本低于最低资本要求通知。电话、传真或Winjammer系统通知
2. 资本大幅消减通知。传真或Winjammer系统
3. 公司负债超过客户资产通知。电话、传真或Winjammer系统通知
4. 调整后资产低于最初早期资本预警要求。邮件或Winjammer系统通知
5. 风险管理报告。Winjammer系统通知
6. 风险披露报告。Winjammer系统通知
7. 主要合规人员报告,年度提交。 Winjammer系统通知
8. 材料缺失通知。 传真或Winjammer系统通知
9. 财年报告变更或延长通知。邮件或Winjammer系统通知
10. 安全存款金额变化通知。Winjammer系统通知
PS:另外NFA要求每位RFED每年向NFA提交问卷调查报告。
监管查询
1. 监管查询流程
第一步:进入 https://www.nfa.futures.org/basicnet
BASIC全称为Background Affiliation Status Information Center(NFA成员背景资料信息中心),如下图所示。
第二步:在NFA ID中输入监管号,比如OANDA的监管号为“0325821”, 或者在Firm name中输入其英文名称“OANDA”,点击“go”。
第三步:在监管信息的页面中,首先看三个关键点,一是公司的名称是否与该公司官网上公布的名称一致;二是NFA ID是否与该公司官网上公布的名称一致;三是公司地址是否与官网上公布的公司地址一致。
第四步(最重要的一步):投资者还一定要看该经纪商是否拥有零售外汇资质:Current Status(目前状态)里是否有RETAIL FOREIGN EXCHANGE DEALER REGISTERED (RFEDSs 零售外汇经纪商),如图所示。
2. 在BASIC中查询公司的净资本、客户资金隔离报告
(1)按照以上步骤,进入公司受监管业务权限页面
(2)点击View Financial Information
(3)点击该公司的资本报告内容
监管投诉
一、NFA投诉
美国NFA接受在线和邮件或传真投诉,投诉处理无具体期限,非投资者也可以投诉,投诉是免费的。
NFA投诉方式:
1. 在线投诉:http://www.nfa.futures.org/basicnet/Complaint.aspx(在线投诉网页)
(在线投诉网页截图翻译,请单击以下图片,以查看完整翻译)
2. 邮件或传真投诉:http://www.nfa.futures.org/NFA-compliance/file-a-complaint-form.pdf(表格下载网址)
(投诉表格截图翻译,请单击以下图片,以查看完整截图翻译)
二、NFA仲裁
1. 仲裁概述:(如果您想追回损失的投资款,建议您走仲裁程序)
1983年,NFA开始采用仲裁,建立了公平公正和高效的解决客户投诉的程序。除了某些特定的例外情况外,当客户对FCM(期货经纪商)、IB(介绍经纪人)、CTA(期货交易顾问)或CPO(期货基金经理人)会员或者是联合会员提出仲裁时,NFA的仲裁结果是强制性的。其裁决具有强制执行力,除非被投诉方已停止营业。投资者可以通过NFA仲裁获得相应补偿。
一方提出仲裁后,双方陈述并提供相应的证据,然后由NFA仲裁员裁决,NFA仲裁比正式的诉讼费用低,时间短。双方可不需要律师申请索赔。
受理后,NFA会给您回信确认申诉,双方可在线查询申诉的进展状态。
为了节省费用和时间提高效率,当涉及赔偿金额低于150,000美元时,通常仲裁程序会转为调解阶段,由一个仲裁员通过书面调解进行解决,使投诉方和被投诉方达成统一的解决方案。
2. 仲裁时间
一般情况下,简易诉讼平均需要七至八个月时间。涉及复杂案件的听证会需要十二至十五个月时间处理。NFA的裁决是收费的,投资者可以通过以下页面缴费:https://www.nfa.futures.org/ODR2/Login.asp
3. 提交仲裁方式
(1)在线提交仲裁:https://www.nfa.futures.org/odr/claim_clmnt.asp(在线投诉网页)
(在线仲裁网页截图翻译)
(请注意:在线提交仲裁申请信息时,需要填好相关信息后,再点“Next”(下一项),才能跳到下一个网页,因此仅以上图为例,后面的相关信息,可以参照可打印版《仲裁表》,见(2)部分“仲裁表格截图翻译”。)
(2)邮件或传真提交仲裁:https://www.nfa.futures.org/arbitration/forms/cust_claim.pdf(表格下载网址)
(仲裁表格截图翻译,请单击以下图片,以查看完整截图翻译)
4. 仲裁费用
仲裁费用分为两部分,一部分为申请费,申请费金额依据赔偿金额的变化而变化,最低为50美元,详细费用请见《仲裁表格》第2页左下角。另一部分为听证会费用,该笔费用也是依据赔偿金额而定,最低为125美元,最高为5100美元,详细费用请见《仲裁表格》第3页左上角。仲裁费用可以在线支付,也可以通过支票或汇票的形式邮寄至《仲裁表》尾页末尾载明地址处。
处罚实例
第一、如何防止欺诈和滥用交易?
1. 严格的登记检查。在美国期货、外汇市场上,给客户提供交易服务的每一个个人和公司必须在美国商品期货交易委员会(CFTC)注册并成为NFA成员。目前,NFA约有4,100个成员和57,000名关联成员(NFA成员公司的代表)。
2. 全面系统的规章制度。NFA对企业的销售方式,数据记录,定期报告,风险披露,业务自由,收费公开,最低资本要求等方面都有系统的、严格的规则。
3. 强有力的执法性。企业若有违反规则的情况,NFA会采取以下措施:警告信,罚款,吊销牌照,禁止与NFA成员的任何合作,公开责令罚款(最高上限为250,000美元)。NFA会与CFTC,FBI及其他执法机构确保投诉的执行。
4. 贸易管理和市场监督。
第二:处罚实例
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