论坛全局菜单下方 - TICKMILL 285X70论坛全局菜单下方 - ThinkMarkets285X70论坛全局菜单下方 - 荔枝返现285X70论坛全局菜单下方 -  icmarkets285X70
查看:1364回复:0
lionzhanglei
注册时间2006-12-09
有人知道NFA第一条和第十一条的规定吗?
楼主发表于:2007-03-21 05:26只看该作者倒序浏览
1楼 电梯直达
电梯直达
我的平台出了问题,上NFA的网站有如下的公告:
Narrative for 0334858 - FOREFRONT INVESTMENTS CORPORATION
**TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS. FOR A COPY OF DOCUMENTS, CONTACT NFA'S INFORMATION CENTER.** Notice of Member Responsibility Action: On March 19, 2007, NFA issued a Member Responsibility Action ("MRA") to Forefront whereby: 1. Effective immediately, Forefront is prohibited from soliciting or accepting any additional customer accounts or customer funds, except as security deposits for existing positions. The prohibition on solicitation includes, without limitation, ceasing solicitation through the firm's web site. 2. Effective immediately, Forefront is prohibited from accepting or placing trades for any customer accounts except for the liquidation of existing customer positions. 3. Forefront must liquidate all customer and firm positions by 3:00 p.m. (EDT) on Wednesday, March 21, 2007. 4. Forefront is required to immediately liquidate all positions held in any account for any Forefront principal or employee and, further, is prohibited from initiating any additional positions in such accounts. 5. Forefront is prohibited from distributing, disbursing or transferring any funds, including to existing customers, without the prior approval of NFA. 6. In taking any action under this MRA, Forefront must act in the best interests of its customers. This action is effective immediately and is deemed necessary to protect customers because Forefront has failed to maintain and produce current and accurate books and records. Additionally, Forefront has failed to demonstrate that it meets the capital requirements of NFA Financial Requirements Sections 1 and 11 or that it is in compliance with all other NFA Financial Requirements. The MRA will remain in effect until such time as Forefront has demonstrated to the satisfaction of NFA that it is in complete compliance with all NFA Requirements. Forefront is required to provide copies of this MRA, by overnight courier, to all of its customers and to all banks and other financial institutions with which it has money on deposit. 我想请教有那位朋友可以帮忙解释一下"Forefront has failed to demonstrate that it meets the capital requirements of NFA Financial Requirements Sections 1 and 11 or that it is in compliance with all other NFA Financial Requirements"里面的第一条和第十一条的内容是什么?
个性签名

韬客社区www.talkfx.co

本站免责声明:

1、本站所有广告及宣传信息均与韬客无关,如需投资请依法自行决定是否投资、斟酌资金安全及交易亏损风险;

2、韬客是独立的、仅为投资者提供交流的平台,网友发布信息不代表韬客的观点与意思表示,所有因网友发布的信息而造成的任何法律后果、风险与责任,均与韬客无关;

3、金融交易存在极高法律风险,未必适合所有投资者,请不要轻信任何高额投资收益的诱导而贸然投资;投资保证金交易导致的损失可能超过您投入的资金和预期。请您考虑自身的投资经验及风险承担能力,进行合法、理性投资;

4、所有投资者的交易帐户应仅限本人使用,不应交由第三方操作,对于任何接受第三方喊单、操盘、理财等操作的投资和交易,由此导致的任何风险、亏损及责任由投资者个人自行承担;

5、韬客不隶属于任何券商平台,亦不受任何第三方控制,韬客不邀约客户投资任何保证金交易,不接触亦不涉及投资者的任何资金及账户信息,不代理任何交易操盘行为,不向客户推荐任何券商平台,亦不存在其他任何推荐行为。投资者应自行选择券商平台,券商平台的任何行为均与韬客无关。投资者注册及使用韬客即表示其接受和认可上述声明,并自行承担法律风险。

版权所有:韬客外汇论坛 www.talkfx.com 联络我们:[email protected]