Sankcijska komisija francoskega regulatorja finančnih trgov, Autorite des Marches Financiers (AMF), je izdala opozorilo proti X-Trade Brokers (XTB) in je posredniku naložila tudi kazen v višini 300,000 EUR zaradi kršitev njegovih poklicnih obveznosti v Franciji. .
XTB is a Poland-headquartered broker and operates in France by passporting its Polish license. According to the regulator’s announcement, the breaches were made under the activity of XTB’s French branch between November 2013 and February 2020.
Večje kršitve
Komisija je posrednika kaznovala za tri velike kršitve: pomanjkljivosti pri promociji storitev, pomanjkljivosti v vprašalniku o izkušnjah s strankami in nerazkritje tehničnega incidenta na platformi za trgovanje.
According to the Commission, the broker disregarded promotional restrictions by distributing certain commercial banners to non-professional clients. In addition, the broker failed to include proper risk disclosure of Trgovanje s CFD-ji on several Google ads.
Moreover, the Commission found that the questionnaires related to its French customers’ trading knowledge and experience were incomplete. It detailed that the calculation algorithm associated with this questionnaire could not determine if the customer had sufficient knowledge to understand the risks of margin trading.
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On top of that, the broker made incorrect client categorization changes, thus violating the restrictive measures imposed by the European Securities and Markets Authority (ESMA) and AMF for the marketing, sale and distribution of CFDs.
Poleg tega je Komisija ugotovila nasprotja s splošnimi pogoji XTB France. Posrednik svojih francoskih strank ni obvestil o tehničnem incidentu, ki je vplival na pravilno izvajanje naročil.
However, the Polish broker has the right to appeal against the penalty imposed by AMF Sanctions Commission.
"XTB želi poudariti, da je izvajal popolnoma odprto komunikacijsko politiko, tako da si je prizadeval zagotoviti zanesljive in pregledne informacije AMF med celotnim nadzornim procesom," je XTB zapisal v izjavi, ki jo delijo z Magneti za finance. "XTB je prejel uradne informacije od AMF in trenutno analizira odločitev regulatorja, da bi določil prihodnje korake v tej zadevi."
Meanwhile, the Polish counterpart of the AMF recently added Dublin-based Avatrade to its warning list, stating that the broker is ‘not registered in Poland’.