Регулирование

Деятельность Henyep Capital Markets (UK) Limited (‘HYCM’) регулируется Управлением финансового надзора (FCA) Великобритании и имеет регистрационный номер 186171. Чтобы посмотреть нашу лицензию, нажмите здесь


О Управлении финансового надзора (FCA)

Управление финансового надзора (далее FCA) представляет собой единое регулирующее ведомство в сфере финансовых услуг в Великобритании и преследует 4 цели:


  • Предоставление гарантий участникам рынка
  • Защита прав клиентов
  • Финансовая стабильность
  • Снижение числа финансовых преступлений

HYCM соблюдает все нормативные требования, установленные FCA, в отношении финансовых услуг.


Преимущества FCA для клиентов HYCM.

Подписывая Клиентское Соглашение, вы становитесь клиентом HYCM и, в отличие от работы со многими другими брокерами, получаете полную защиту и преимущества со стороны FCA, деятельность которого основывается на следующих принципах:


  • У FCA высокие требования к финансовым стандартам, которым должна соответствовать HYCM, при этом компания должна иметь достаточный капитал и использовать его только для поддержки своей деятельности.
  • У FCA есть полномочия проводить регулярные проверки и проверять все записи и клиентские счета, чтобы удостовериться, что компания соответствует высоким стандартам.
  • Компания имеет квалифицированного независимого эксперта. В его обязанности входит представлять регулярные отчеты директору группы и обеспечивать ежедневное соблюдение регулятивных норм. Он наблюдает за справедливым отношением к клиентам (со стороны компании) и занимается разрешением всех спорных вопросов, которые возникают у клиентов.
  • FCA требует от HYCM достойного уровня обслуживания клиентов.
  • Текущее состояние клиентских счетов должно регулярно проверяться независимыми аудиторами. Отчет о проверке направляется в Управление финансового надзора Великобритании (FCA). Независимым внешним аудитором HYCM назначила компанию Moore Stephens. Они проводят ежегодную проверку бухгалтерских книг и записей и направляют в FCA отчеты о соблюдении нами нормативных требований обеспечения достаточности капитала и средств клиентов на протяжении отчетного периода.
  • Все сотрудники HYCM, которые работают непосредственно с клиентами, в обязательном порядке проходят авторизацию и утверждаются FCA. Полный список утвержденного персонала находится на сайте FCA.

Регулирование торговой отчетности

Все компании, которые работают в странах Европейского Союза, подчиняются нормативным требованиям регуляторов и обязаны сообщать о каждой сделке, проведенной через торговый репозиторий. Правила регулирования инфраструктуры европейского финансового рынка (далее EMIR) предполагают обязательную отчетность о деривативных сделках перед торговым репозиторием, включая сделки по CFD. HYCM докладывает обо всех клиентских сделках, совершенных через UnaVista, глобальную платформу Лондонской фондовой биржи. Отчетность касается финансовых и нефинансовых контрагентов и покрывает все сделки по производным финансовым инструментам (как внебиржевые, так и биржевые деривативы), включая акции, процентные ставки, валюту, сырье, кредиты и др. Это повышает степень вашей безопасности в случае ведения торгов с HYCM, поскольку обо всех сделках сообщается внешнему регулирующему органу.


Защита средств клиента согласно правилам FCA

Поскольку деятельность компании регулируется FCA, клиенты HYCM получают гарантию того, что их интересы защищены международным финансовым правом. «Правила обращения с активами клиента» FCA предусматривают, что Henyep Capital Markets (UK) Limited ежедневно выделяет все ваши деньги согласно вашим требованиям и хранит данные средства на отдельном счете в банке. Таким образом, в случае ликвидации компании Henyep Capital Markets (UK) Limited, уполномоченный банк или любой другой кредитор Henyep Capital Markets (UK) Limited не сможет претендовать на данные средства.

Также это обозначает, что ваши деньги и другие активы будут храниться отдельно от собственных средств компании Henyep Capital Markets (UK) Limited, таким образом, они будут недоступны для использования компанией в ее бизнес-целях. Мы можем хранить ваши средства и средства других клиентов на общем банковском счете. Таким образом, в случае, если невыполнение банком обязательств по договору вызовет недостачу денежных средств на общем счете, Вы можете разделить данные средства пропорционально.


Программа компенсаций в сфере финансовых услуг (FSCS)

Все клиенты HYCM получают бонус в виде программы компенсаций FCA (далее FSCS) - последняя инстанция для клиентов финансовых консультационных компаний, утвержденный службой финансового надзора. Это означает, что FSCS сможет выплачивать компенсации по программе защиты вкладов клиентов, если уполномоченная компания по оказанию финансовых услуг не может, либо возможно не сможет, удовлетворить претензии о выплате компенсаций в дальнейшем, и, таким образом, не выполнить свои обязательства. Максимальный размер выплат по программе защиты инвестиций составляет £50,000.00 для каждого клиента.


Более подробную информацию о FSCS и ее услугах можно получить на сайте: 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.