Regolamentazione

Henyep Capital Markets (UK) Limited (‘HYCM’) è autorizzata e regolamentata dall’Autorità di Condotta Finanziaria (FCA) con numero di riferimento società numero 186171. Per vedere la nostra licenza cliccare qui


A proposito della FCA

La FCA è l’unico regolatore dei Servizi Finanziari nel Regno Unito e come da statuto ha 4 obiettivi:


  • Promuovere la Fiducia nel Mercato
  • Protezione del Consumatore
  • Stabilità Finanziaria
  • Promuovere la Riduzione dei Crimini Finanziari

HYCM rispetta tutti i requisiti regolamentari pertinenti e applicabili, imposti dalla FCA per quanto riguarda i servizi finanziari svolti a nome dei clienti.


I benefici per i clienti HYCM che derivano dall'appartenenza all’FCA

A differenza di molti altri broker FX, grazie all’accettazione del Contratto Cliente, diventi un cliente di HYCM e quindi ricevi tutte le protezioni e i benefici delle regolamentazioni FCA tra cui:


  • L’FCA ha dei criteri di capitale molto esigenti, secondo i quali HYCM deve mantenere capitale all’interno della Società che può essere utilizzato solo per il mantenimento del sistema di regolamentazione.
  • L’FCA ha la facoltà di visitare le imprese senza avviso su base ad-hoc, per controllare la loro contabilità e i conti dei clienti, per assicurare che l’impresa stia aderendo agli standard di conformità più alti.
  • L’azienda ha un Ufficiale di Conformità a tempo pieno che è indipendente dal management. Egli comunica direttamente con il Direttore del Gruppo e assicura il rispetto di tutte le responsabilità regolamentari e il trattamento equo dei clienti, tra cui la risoluzione dei reclami dei clienti.
  • L’FCA obbliga HYCM a mantenere sistemi e controlli per il trattamento equo dei clienti.
  • La revisione della contabilità e delle procedure riguardanti i fondi dei clienti, da parte di revisori esterni, è obbligatoria e i risultati vengono comunicati direttamente alla FCA. HYCM ha nominato Stephens Moore per la revisione annuale della nostra contabilità e per comunicare alla FCA il nostro rispetto delle regole riguardanti i Fondi dei Clienti e l’Adeguatezza del Capitale durante l’intero periodo di revisione.
  • Tutti i dipendenti di HYCM che eseguono scambi per conto dei clienti devono essere approvati dalla FCA. Una lista completa delle persone autorizzate è presente sul sito della FCA.

Comunicazione Scambi Regolamentare

Tutte le imprese che operano nell’UE devono, per obbligo regolamentare, comunicare ogni transazione che entra nel loro repertorio di scambi.


La Regolamentazione dell’Infrastruttura del Mercato Europeo (EMIR) introduce l’obbligo di comunicare tutti i derivati ai repertori di scambi, tra cui i CFD. HYCM comunica tutti gli scambi effettuati dai clienti tramite UnaVista, la piattaforma LSE presente in tutto il mondo. Le comunicazioni includono controparti finanziare e non finanziarie e copre tutte le transazioni derivative (sia OTC che derivanti quotati) come ad esempio azione, tasso di interesse, valuta, commodity credito o altro.


Tutto questo va a rafforzare la sicurezza del trading effettuato tramite HYCM dato che tutti i vostri scambi vengono comunicati a un corpo regolatore esterno.


Protezione in base alle regole della FCA per il Denaro dei Clienti

Essendo regolata dalla FCA, i clienti di HYCM ricevono la garanzia di essere protetti da una giurisdizione finanziaria leader a livello mondiale. Le “Regole sui Beni dei Clienti” della FCA richiedono che Henyep Capital Markets (UK) Limited segreghi giornalmente tutto il denaro che spetta ai clienti e obbliga a mantenere questi fondi in maniera separata, come fiduciario. Per questo motivo la banca, o qualunque altro creditore di HYCM, non potrà rifarsi su questi fondi in caso di liquidazione di Henyep Capital Markets (UK) Limited.


Questo significa anche che i tuoi fondi e gli altri beni verranno separati dal denaro di HYCM e non saranno a nostra disposizione durante lo svolgimento delle nostre attività di esercizio. Tuttavia, potremmo mantenere i tuoi soldi e quelli degli altri clienti in un conto bancario comune. Quindi nell’eventualità del fallimento della banca, ci sarà un deficit non riconciliato per il denaro mantenuto nel conto comune, si può successivamente rifarsi sul deficit in maniera proporzionale.


Piano di Compensazione Servizi Finanziari (FSCS)

Tutti i clienti di HYCM beneficiano del piano FSCS della FCA, il fondo di compensazione di ultima istanza del Regno Unito per i clienti delle imprese autorizzate dalla FCA. Significa che l’FSCS può pagare un compenso in base al piano di affari per gli investimenti protetti ai consumatori nel caso in cui un’azienda autorizzata sia, o si abbia il sospetto che sia, insolvente ossia “in fallimento”. I pagamenti che fanno parte di questo piano sono limitati ad un massimo di 50,000.00£ per cliente.


I dettagli completi del FSCS e dei suoi servizi sono disponibili sul loro sito web: http://www.fscs.org.uk/

Henyep Capital Markets (UK) Limited (‘HYCM’) is authorised and regulated by the Financial Conduct Authority (FCA) under Company reference number 186171. To view our license please click here.


About the FCA

The FCA is the single regulator for Financial Services in the UK, and has 4 statutory objectives:


  • Market Confidence
  • Consumer Protection
  • Financial Stability
  • The Reduction of Financial Crime

HYCM complies with all relevant and applicable regulatory requirements imposed by the FCA in relation to financial services undertaken on behalf of clients.


Benefits of FCA membership for HYCM clients.

Unlike many other FX brokers, by agreeing to the Client Agreement, you are a client of HYCM and given the full protections and benefits of FCA regulations including:


  • The FCA has very demanding capital standards, by which HYCM must keep capital within the Firm that can only be used to support the regulatory business.
  • The FCA has the authority to visit firms unannounced on an ad-hoc basis to check all their records, and client accounts, to ensure the firm is adhering to the highest standards of compliance.
  • The Firm has a full-time, qualified Compliance Officer who is independent of management. He reports directly to the Chairman of the Group and ensures compliance with all regulatory responsibilities and fair treatment of clients, including the resolution of clients’ complaints.
  • The FCA requires HYCM to maintain systems and controls for treating customers fairly.
  • It is mandatory for external auditors to independently review the accounts and client money procedures and report directly to the FCA. HYCM has appointed Moore Stephens who audit our books annually and report to the FCA our adherence to Client Money and Capital Adequacy Rules throughout the review period.
  • All the employees of HYCM who execute deals as per client requests must be approved by the FCA. A full list of all approved persons is contained on the FCA website.

Regulatory Trade Reporting

All firms that operate in the EU are under regulatory obligation to report every transaction that they enter into to a trade repository.


The European Market Infrastructure Regulation (EMIR) introduces an obligation to report all derivatives to trade repositories, including CFD’s. HYCM reports all clients’ executed trades through UnaVista, the LSE global hosted platform. Reporting includes financial and non-financial counterparties and covers all derivative transactions (both OTC and exchange traded derivatives) such as equity, interest rate, currency, commodity, credit and other.


These all add to your security in trading through HYCM as all your trades are reported to an external regulatory body.


Protection under FCA's Client Money Rules

By being regulated by the FCA, HYCM clients are assured of protection under a world-leading financial jurisdiction. The FCA 'Client Assets Rules' require Henyep Capital Markets (UK) Limited to segregate daily all money due to you and hold these funds separately, as trustee. As such the bank or any other creditor of HYCM will not be able to claim these funds in case of liquidation of Henyep Capital Markets (UK) Limited.


This also means that your funds and other assets will be segregated from HYCM's own money and will not be available to us for use in the course of our business. We may hold your money and the money of other clients in a pooled bank account. Hence in the event of a default by the bank causes any unreconciled shortfall in the money held in the pooled account, then you may share proportionately in that shortfall.


Financial Services Compensation Scheme (FSCS)

All HYCM customers benefit from the FCA's FSCS scheme, the UK's compensation fund of last resort for customers of FCA authorised financial services firms. This means that FSCS can pay compensation under the protected investment business scheme to consumers if an authorised firm is, or is likely to be, unable to pay claims against it and so is in "default."Payments under this scheme are limited to a maximum of £50,000.00 per customer.


Full details of FSCS and its services are available at their web site: http://www.fscs.org.uk/

HYCM (Europe) Ltd (‘HYCM’) is authorised and regulated by the Cyprus Securities and Exchange Commission (CySEC) under license number 259/14. To view our license please click here. Its license allows HYCM (Europe) to passport its services to all other EU-member states on a cross border basis. Some EU-member states with which we are registered are listed below:



To view the full list, please click here.


About CySEC

The Cyprus Securities and Exchange Commission (CySEC) is the independent public supervisory Authority responsible for the supervision of the investment services market and transactions in transferable securities carried out in the Republic of Cyprus. The CySEC was established in accordance with section 5 of the Securities and Exchange Commission (Establishment and Responsibilities) Law of 2001 as a public legal entity. The operation of the CySEC is governed by the Laws regulating the Structure, Responsibilities, Powers, Organization of the Cyprus Securities and Exchange Commission and Other Related Matters (N73(I)/1009).


The vision of the CySEC is to establish the Cyprus securities market as one of the safest, most reliable and attractive destinations for investment.


The mission of the CySEC is to exercise effective supervision to ensure investor protection and the healthy development of the securities market.


HYCM complies with all relevant and applicable regulatory requirements imposed by the CySEC in relation to financial services undertaken on behalf of clients.


Benefits of CySEC License for HYCM clients

HYCM’s (Europe) Ltd CySEC license (259/14) is valid in all Member States of the European Union MiFID. As a regulated platform, we adhere to the policies and requirements set down by the financial regulator, which are designed to protect customers' interests. Comprehensive checks by the regulator ensure that all activities of the company are provided with complete fairness and transparency. Unlike many other FX brokers, by agreeing to the Client Agreement, you are a client of HYCM and given the full protections and benefits of CySEC regulations including:


  • As an EU regulated firm, HYCM, is obliged to meet strict financial standards, including capital adequacy requirements. We are required by law to maintain sufficient capital to cover all client deposits, any movements in the firm's currency positions, and company expenses. As part of its regulatory requirements, the firm submits financial reports to the regulator on a quarterly basis. Any deficiencies are reported to the regulator by an independent external auditor who carries out a comprehensive yearly audit.
  • The CySEC has the authority to visit firms unannounced on an ad-hoc basis to check all their records, and client accounts, to ensure the firm is adhering to the highest standards of compliance.
  • The Firm has a full-time, qualified Compliance Officer who is independent of management. She reports directly to the Chairman of the Group and ensures compliance with all regulatory responsibilities and fair treatment of clients, including the resolution of clients’ complaints.
  • The CySEC requires HYCM to maintain systems and controls for treating customers fairly.
  • It is mandatory for external auditors to independently review the accounts and client money procedures and report directly to the CySEC.In order to safeguard the reliability of our finances, we have appointed BDO Ltd (part of BDO International, the fifth largest accountancy network in the world) as our independent external auditors to perform our annual audit.

Regulatory Trade Reporting

All firms that operate in the EU are under regulatory obligation to report every transaction that they enter into to a trade repository.


The European Market Infrastructure Regulation (EMIR) introduces an obligation to report all derivatives to trade repositories, including CFD’s. HYCM reports all clients’ executed trades through DTCC,. Reporting includes financial and non-financial counterparties and covers all derivative transactions (both OTC and exchange traded derivatives) such as equity, interest rate, currency, commodity, credit and other.


These all add to your security in trading through HYCM as all your trades are reported to an external regulatory body.


Segregation of client funds

In accordance with CySEC rules, all client money is kept fully segregated from our own assets in an EEA-regulated credit institution. This ensures that clients’ funds are available for them at all times, and cannot be used by us for any purpose. As such the bank or any other creditor of HYCM will not be able to claim these funds in case of liquidation of HYCM (Europe) Ltd.


This also means that your funds and other assets will be segregated from HYCM's own money and will not be available to us for use in the course of our business. We may hold your money and the money of other clients in a pooled bank account. Hence in the event of a default by the bank causes any unreconciled shortfall in the money held in the pooled account, then you may share proportionately in that shortfall.


Investors Compensation Fund (ICF)

All HYCM customers benefit from the CySEC's ICF scheme, Cyprus Investment Firms compensation fund of last resort for customers of CySEC authorised financial services firms. This means that ICF can pay compensation under the protected investment business scheme to consumers if an authorised firm is, or is likely to be, unable to pay claims against it and so is in "default."Payments under this scheme are limited to a maximum of €20,000.00 per customer. Please read the full Investors Compensation Fund Policy here.