新西兰FSP新规解读以及何类FSP公司需交纳100万纽币保证金

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FSP-LOGO围绕着新西兰FSP监管政策的变化,与董事要求一样倍受关注的是政府对注册公司的保证金要求,很多外汇券商最近都关心新西兰政府向FSP公司提出的100万纽币保证金的要求。

 

May 1, 2014 new requirements came into effect that set licensing and equity requirements for Non-Bank Deposit Taker FSPs in New Zealand. The requirements are discussed on the New Zealand FSP Website at the link below:

中文译文:2014年5月1日实施新要求,对在新西兰非银行类存款机构注册金融服务企业设定许可和股本要求。

以下新西兰注册金融服务企业网站有关于这些要求的讨论:为了让所有关注这个法案的人放心。我特意摘录了相关的条款原文来翻译。

http://www.business.govt.nz/fsp/news-updates/news/new-licensing-requirements-deposit-takers

It is important to note what defines a Non-Bank Deposit Taker and well as the Government’s definition of debt securities. Please take a look at the links below:

注意这个新西兰FSP监管网站上的法案原文,需要注意的是,非银行存款机构是如何定义的以及政府对债券的定义,请查看以下链接:http://www.business.govt.nz/fsp/help-support/financial-services-definitions/non-bank-deposit-taker

Non-Bank Deposit Takers (NBDT) are defined in section 5 of the Non-bank Deposit Takers Act 2013, and includes:

《非银行存款机构法案(2013)》第5章对非银行存款机构(NBDT)做出了定义,包括:

a person that

一个人(个人)

i. offers debt securities to the public in New Zealand; and

向新西兰公众提供债券;并

ii.carries on the business of borrowing and lending money, or providing financial services, or both:

进行商业借贷业务,或者提供金融服务,或两者兼有:

a person, or a member of a class of persons, that is declared by regulations made under section 73(1)(c) to be an NBDT for the purposes of this Act:

本法所称以下非银行存款机构,系指73(1)(c)章的条款规定的一个人或一类人的一个成员。

http://www.business.govt.nz/fsp/help-support/financial-services-definitions/non-bank-deposit-taker/what-are-debt-securities

“”Debt Securities” are investments where people lend money to, or deposit money with, an institution in exchange for the payment of interest or some other right in return. Some investments are secured over the assets of the institution (but not always) by way of a debenture.

译文:“‘债券’是人们借钱出去或存款的投资,一个换取支付利息或其他权利的机构。一些投资由机构财产证券担保(并非都是如此)。

(s2 Securities Act 1978) 按(《证券法》(1978) s2)

Common debt securities are debentures (where the investment is secured over the assets of the institution), bonds (such as New Zealand Government Stock), and capital notes.”

常见的债务证券有信用债券(机构财产担保的投资),债券(新西兰政府债券),和资本票据。”

The companies that you seek to register (or have registered) as FSPs in the capacity of Forex (or Binary Options) Brokers, are not dealing in debt securities of any kind to anyone in New Zealand or anywhere else in the world in the capacity of a NZ FSP.

试图注册(或已经注册)成为外汇(或二元期权)经纪商类型的金融服务企业,不能同任何在新西兰的个人或者注册为新西兰金融服务企业的世界其他地方的个人进行任何形式的债券交易。

In short, in order for a company or person to be considered subject to licensing and minimum equity requirements they would need to offer DEBT SECURITIES to the public IN New Zealand AND carry on the business of borrowing and lending money, or providing financial services, or both.

简言之,一家公司或者个人想要获得许可或最低股本要求,他们需要向新西兰公众提供债券,从事借贷业务或提供金融服务,或两者兼有。

Clients that intend on operating as retail Forex Brokerage, such as the clients you seek FSP registration for do not offer debt securities to anyone, including the public within New Zealand. Without providing these services, combined with being an FSP, they are not subject to the requirements. They can continue to register as FSPs while providing the following services to clients around the world with the exception of New Zealand:

客户打算进行零售外汇经纪,比如,你寻找的金融服务企业注册客户不向任何人,包括新西兰公众提供债券。不提供这些服务,同时作为金融服务企业,他们不受这些要求的限制。只要他们向新西兰之外世界其他各地的客户提供下列服务,就可以继续注册成为金融服务企业:

http://www.med.govt.nz/business/business-law/current-business-law-work/companies-act-changes

我相信很多关注这个文章的读者是外汇券商或外汇作市商。这些公司符合下面这一类目:即外汇作市商或平台运营商(而非外汇平台的代理商。)

Entering into or trading on an exchange, in an over-the-counter market or otherwise, the following on behalf of another person

从事外汇交易,场内交易或者场外交易,以下是另一个人的经营范围:

  • money market instruments (including cheques, bills, certificates of deposit);
  • 货币市场工具(包括支票,账单,存单);
  •  foreign exchange
  • 外汇交易
  •  derivative products including, but not limited to futures and options
  • 包括衍生产品,但不限于期货和期权
  •  interest rate and index instruments
  • 利率和指数工具
  • transferrable securities (including shares);
  • 可转让债权(包括股份);
  • futures contracts
  • 期货合约

按照以上我们大多数客户的类型。最低保证金要求并不适用于希望申请FSP进行外汇运营业务的作市商或运营商

同时,

http://www.med.govt.nz/business/business-law/current-business-law-work/companies-act-changes

THE AMENDMENT TO THE FINANCIAL MARKETS CONDUCT ACT 2013 – has placed new licensing obligations and changes to the Companies Act 1993 (such as minimum capital and FMA license requirements). According to the legal opinion, the applicable laws apply only to FSP’s offering services in New Zealand, and therefore, ARE NOT APPLICABLE to an FSP firm, which DOES NOT offer ‘derivatives’ to residents of New Zealand, since No Regulated offer is being made.

《金融市场行为法案修正案(2013)》——对《新西兰公司法(1993年)》添加了新的许可义务和改变(最低资本金和金融市场管理局许可要求)。根据法律意见,可适用的法律仅仅适用于在新西兰提供服务的金融服务企业,因此,对没有向新西兰居民提供衍生产品的金融服务企业,并不适用,因为没有按照监管要求提供服务

所以,以上的两点说明可以使FSP运营商放心。保证金的要求并不会向这些FSP外汇经纪公司执行。如果您需要了解更多关于正规新西兰FSP运营的要求。可以向专业律师咨询。

同时第二条也再次证明,新西兰政府的要求和我们向我们自己的客户严格要求的一样,运营的平台不需要为新西兰公民开设交易账号。因为新西兰政府规定,若希望向新西兰公民提供金融服务。必须申请新西兰的FMA监管。

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