什麼是? 塞浦路斯證券和交易委員會 Cyprus Securities and Exchange Commission(Cysec)
塞浦路斯證券交易委員會(CySEC)成立於2003年，Cysec監管是一個獨立的監管機構，其主要目標是保護塞浦路斯金融市場的完整性，提供金融機構面對歐盟客戶監管的權責機構，在此監管底下涵蓋了全球大多數外匯與股票交易經紀商，保護投資者和促進市場誠信以及促進高效和健全的市場運作的原則，透過有效監管、監督市場參與者遵守法律和製裁違規行為來保護投資者。
如何查詢外匯金融證券股票公司是否受到Cysec監管?
如何搜尋公司是否受到監管
選擇”REGULATED ENTITIES” 接著 選擇”INVESTMENT FIRMS” 接著點擊”INVESTMENT FIRMS (CYPRIOT)” 或點 ”LIST OF APPROVED DOMAINS” ，你會看到搜尋框輸入監管號碼或者公司名稱。
Cysec查詢公司經營狀態與監管編號
如果監管號碼”Licence Number’’旁邊顯示Suspended則該公司已經被撤銷牌照，如顯示”Voluntary Renunciation”則公司自願放棄該牌照，以上兩種情況則公司已經不具備監管牌照。
Cysec監管下的金融交易服務機構可提供的服務範圍
在Investment Services與Ancillary Services底下顯示該公司可提供之金融服務，任何在此監管底下的金融服務公司都不可以超出其監管經營範圍。
- Transferable securities
- Money-market instruments
- Units in collective investment undertakings
- Options, futures, swaps, forward rate agreements and any other derivative contracts relating to securities, currencies, interest rates or yields, emission allowances or other derivatives instruments, financial indices or financial measures which may be settled physically or in cash
- Options, futures, swaps, forwards and any other derivative contracts relating to commodities that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event
- Options, futures, swaps, and any other derivative contract relating to commodities that can be physically settled provided that they are traded on a regulated market, a 219 The present English text is for information purposes only and is not legally binding. The legally binding document is in the Greek language. MTF, or an OTF, except for wholesale energy products traded on an OTF that must be physically settled
- Options, futures, swaps, forwards and any other derivative contracts relating to commodities, that can be physically settled not otherwise mentioned in point 6) of this Part and not being for commercial purposes, which have the characteristics of other derivative financial instruments
- Derivative instruments for the transfer of credit risk
- Financial contracts for differences
- Options, futures, swaps, forward-rate agreements and any other derivative contracts relating to climatic variables, freight rates or inflation rates or other official economic statistics that must be settled in cash or may be settled in cash at the option of one of the parties other than by reason of default or other termination event, as well as any other derivative contracts relating to assets, rights, obligations, indices and measures not otherwise mentioned in this Part, which have the characteristics of other derivative financial instruments, having regard to whether, inter alia, they are traded on a regulated market, OTF, or an MTF.
- Emission allowances consisting of any units recognised for compliance with the requirements of Directive 2003/87/EC
在Cysec監管底下有什麼樣的個人保障?
所有在Cysec監管底下的金融投資服務機構的投資人都會受到投資者補償基金”INVESTOR COMPENSATION FUND”的保障，支付給被視為有資格獲得賠償的申請人的最高賠償金額為兩萬歐元。上述承保範圍適用於申請人向 ICF 成員提出的索賠總額，無論賬戶數量、貨幣和提供服務的地點如何。
什麼是客戶的投資者賠償基金
IF 客戶投資者賠償基金 (“ICF”) 是其成員的基金，根據第 144(I)/2007 號法律第 59(1) 和 (2) 條設立，規定提供投資服務，行使投資活動，受監管市場的運作和其他相關事項（“法律”）作為除信貸機構以外的 CIF 客戶的投資者賠償基金，其權力和職能受該法律和第 144-2007 號指令的規定-塞浦路斯證券交易委員會（“CySEC”）關於繼續運營和運營投資者賠償基金。
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參考資料
塞浦路斯證券和交易委員會 Cyprus Securities and Exchange Commission (Cysec) 官方網站
