Linear

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3 条与贸易公司部门的市场保护和市场滥用有关的行为。我们处以罚款。金融行为监管局 (fca) 今天发布了一项决定通知，涉及 Linear投资有限。 Linear未能采取合理谨慎负责任和有效的方式组织和控制其事务，以确保能够发现和报告潜在的市场滥用事件。故障发生在 2013 年 1 月 14 日至 2015 年 8 月 9 日。 Linear已将处罚问题提交上级法庭。","RegId":"202210260854085788","Content":" Linear已同意通知中列出的事实，以及对已识别的违规行为的责任。它对所施加的处罚提出异议，并将处罚问题提交上级法庭。上级法庭将决定 FCA 应采取的适当行动（如果有的话），并根据法庭认为适当的指示将此事移交 FCA。 2015 年 8 月之前， Linear通过其直接市场准入 (dma) 对交易进行的人工监督有限。什么时候 Linear的商业模式发生了变化，交易量增加了这种人工监督并没有提供足够的监控。直到 2014 年 11 月， Linear错误地认为它可以依赖其执行交易的经纪人进行的交易后监督。 FCA 在其决定通知中明确表示，应处以 409,300 英镑的罚款 Linear在 2013 年 1 月 14 日至 2015 年 8 月 9 日期间，未能通过适当的风险管理系统，在检测和报告潜在的市场滥用事件方面采取合理谨慎的措施，以负责任和有效的方式组织和控制其事务，从而违反了原则 3。 Linear是一家授权公司，为其客户提供一系列经纪服务，包括通过电子 dma 访问交易执行。与任何其他经纪人一样，内在 Linear的业务是客户可能滥用市场的风险。 Linear不理解有必要根据其可获得的信息及其观点进行自己的单独监视。这种对经纪人监视的依赖是错误的。 2014 年 11 月， Linear意识到需要拥有自己的交易后监控系统，并采取措施采购和实施自动化系统。然而，直到 2015 年 8 月 10 日 Linear建立了有效的系统来纠正违规行为。解决市场滥用问题是 FCA 的优先事项，公司应发挥自己的作用，确保他们始终能够识别和管理所面临的市场滥用风险。为此，公司必须确定有合理理由怀疑发生了市场滥用行为，并向 FCA 提交报告。可疑交易报告 (strs) 和可疑交易和订单报告 (stors) 是 fca 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