FMA 外汇经纪商由哪家监管机构监管?

FMA forex brokers新西兰金融市场监管局 (FMA) 是新西兰金融市场及其参与者的监管机构。2006 至 2010 年期间,新西兰证券委员会(FMA 的前身)因众多金融公司破产、后续客户资金受损而备受谴责。此外,新西兰证券委员会无法执行严格的规章制度,最终导致新西兰经济崩溃。此轮崩溃一定程度上是由全球金融危机引起的。

新西兰议会通过《金融市场法案》后,为设立新监管机构监督规章制度和金融市场,恢复消费者细心,让投资者重返新西兰,于是在 2011 年成立了 FMA。新法案规定,FMA 拥有授权、规管、监督所有金融公司及吊销其执照的全部权力,以保证金融市场始终保持诚信、透明。《2013 年金融市场行为法案》(Financial Markets Conduct Act of 2013) 列述了 FMA 监管架构。

受 FMA 监管的经纪商可信吗?

几次大规模金融危机和经纪商骗局令新西兰总体经济及其监管治理效率形象受损,迫使新西兰当局改革监管准则,以保证未来永远不再发生此类情况。FMA 的引入考虑了所有受监管金融公司必须遵循的国际行为准则的多个方面,这些规定同样适用于受 FMA 监管的外汇经纪商。

如今,FMA 通过对其成员企业执行规定,更积极地打击金融犯罪。其定期颁布指南和政策更新,始终监督所有受监管企业及其活动。因此,目前所有受 FMA 监管的经纪商频繁受到监控,以保证其与消费者的交易安全透明。监管协议也进行了改革,这甚至影响了以往开展合法业务交易的 真正经纪商,最终禁止其开展 FMA 执照授权业务。

过渡期对受 FMA 监管的真正外汇经纪商有何影响?

多家经纪商和金融公司曾根据旧版新西兰证券委员会指南在新西兰进行商业注册,因此其执照是按照当时适用规章颁发的。可是,从新西兰证券委员会过渡到 FMA 并未考虑已经在新西兰真正开展业务的现有公司。因此,这些公司中的大多数都被 FMA 禁止或解除管制。

这导致常设企业不满,FMA 不得不重新考虑立场,修改监管架构,以向所有先前成立的企业颁发执照。然而,新改革规定所有公司必须变革操作程序以符合新监管制度,未能改革的可能遭受巨额罚款和永久性禁发执照。

我可以向受 FMA 监管的经纪商投诉吗?

FMA 的主要目标是与消费者携手恢复投资者信心,通过诚信、透明操作维持金融市场。因此,FMA 专门针对消费者,允许投资者有任何投诉或警告时直接联系 FMA。有多个渠道可供消费者联系 FMA,包括热线电话、电子邮件和网络联系表等。

FMA 开展消费者调查并已组建了一个消费者咨询网络,用于处理所有消费者反馈,还制定了为国内金融公司授权的监管指南。因这些举措持续征集消费者对 FMA 成员公司的体验反馈,通常被视为 FMA 促进金融市场完整性的应对措施。

FMA 面向未来

FMA 允许普通大众浏览其在线资源,增进对金融市场的了解,致力于推广消费者教育。启发投资者根据广泛研究做出精明决策,并在与受 FMA 监管的金融实体打交道时精心制定策略。FMA 向投资者承诺,将及时对偏离所有成员公司都必须遵守的严格行为准则之各方采取行动。

此外,FMA 还参与制定 2009 年《反洗钱和反恐怖主义融资法案》中严格的反洗钱政策。FMA 的所有成员组织均必须遵守该法案,FMA 将坚定不移地保护国家的整体利益。FMA 定期对各组织进行审计,确保所有金融交易按照 FMA 指南执行。

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