受監管、持牌及透明

我們的牌照條件

以下條件適用於Exura Prime Ltd由毛里裘斯金融服務委員會發出的投資交易商牌照。

1. 1

   Exura Prime Ltd (the "Company") shall only conduct such business or activity permissible under this licence, unless otherwise approved by the Commission. Where such approval is given, the Company shall not undertake such business or activity until any licence, authorisation, permission or consent required has also been obtained.

2. 2

   The Company shall keep at its registered address all executed agreements pertaining to the professional services it provides to its clients.

3. 3

   Where the Company holds clients' funds (e.g. margins, deposits), it shall maintain such funds separate from its proprietary funds and accounts and shall handle such funds only for their specified purpose.

4. 4

   The Company shall at all times ensure that its officers and employees have an appropriate level of training and knowledge of the products they promote, to enable them to explain the risks involved to clients.

5. 5

   The Company shall take reasonable steps to ensure that: (a) its customers understand the nature of the risks involved in the different types of investment/products proposed; (b) it discloses whether it is dealing on its own account or otherwise holding a position, where relevant; (c) it discloses the identity and business address of the person for which it acts as marketing or distribution agent, or from whom it receives any commission; and (d) it discloses whether the person on whose behalf it is acting is regulated or authorised to market or distribute the proposed financial products in its respective jurisdiction.

6. 6

   The Company shall issue to each client: (a) a confirmation of the executed trade within 24 hours from the time of execution; and (b) a quarterly statement of account for all transactions executed, not later than one month from the close of the quarter, unless otherwise agreed with or requested by the client.

7. 7

   The Company shall adopt, enforce and reassess, on an annual basis, its AML/CFT framework, and shall maintain adequate records of all AML/CFT checks carried out on its clients, which shall be made available to the Commission upon request.

8. 8

   The Company shall ensure that it has the technical and financial means to provide for a Disaster Recovery Plan which covers all essential and critical infrastructure elements, systems and networks, in accordance with its business activities.

9. 9

   The Company shall ensure that any information displayed or dispensed through marketing campaigns, advertisements, brochures or its website is clear and not misleading. Such information shall accurately indicate the legislative framework under which this licence is issued and describe the activities permitted under the licence. The Commission reserves the right to have any misleading information or advertisement removed and/or amended as appropriate at the Company's expense.

10. 10

    The Company shall, not later than three months after the closing of a financial year, submit to the Commission a Compliance Certificate confirming that the Company has complied with the statutory requirements/enactments and conditions.

上述條件轉載自牌照，僅供參考；FSC所發出的牌照仍為權威文本。

法律文件