广告

CMIC调节接管券商订单

字体大小

秒 logo

通过 丹尼斯一个。瓦尔迪兹, 记者

THE Capital 市场 Integrity Corp. (CMIC) is set to take over the operations of embattled brokerage R&L Investments, Inc. upon the order of the Securities and Exchange Commission (秒).

In a statement Friday, the country’s corporate regulator said it ordered CMIC to handle outstanding contracts of R&L Investments to protect the brokerage’s existing clients.

CMIC是bt365备用网站证券交易所的独立市场监管部门,INC。 (PSE),本地股市的运营商。

“证监会发布11月的订单。 14,据称继券商股的崩溃,由于专有和客户价值的股票擅自转让超过P700万美元与其他券商的账户,“美国证券交易委员会说。

The 秒 said that a week since it started investigation on the case, it has established that R&L Investments’ current financial condition “has so deteriorated that it cannot readily meet the demands of its clients for the delivery of securities and/or payment of sales proceeds“。




美国证券交易委员会指出,PSE或CMIC必须“通过出售后者的交易权及其他与贸易相关资产解决失败的交易参与者的责任给客户,它的清盘实收付款对债权的资金和/或监管保证书“。

说监管机构的客户可以给予选项,从交易参与者的认可信托基金要求赔偿。它说,你PSE证券投资者保护基金池处理来自参与者,这是为了保护投资者免受欺诈,故障或交易参与者破产的情况下,损失的交易贡献。

“如果与贸易有关的资产功亏一篑,在(PSE或CMIC)应指未偿付的信托基金,并告知客户的进一步的必要步骤索偿损失不满意,”加秒。

In a Nov. 14 memorandum of CMIC posted on its website, it requested clients of R&L Investments to “send all relevant information, inquiries and/or claims involving the trading participant to info@cmic.com.ph“。

说CMIC此外,它正在“确定的有关各方致力于相关证券法律的各种违规行为”,并认为这将是一个报告和建议提交给美国证券交易委员会。但其调查是独立于秒自身的探测。

The Philippine Daily Inquirer broke the news last week about a rogue employee of R&L Investments that wiped out the brokerage’s inventory of stocks by allegedly stealing piece by piece for the past eight years.

R&L Investments had since shut down its operations, and CMIC put it under involuntary suspension to start a probe on the case. This means the brokerage is denied access to its account with the Philippine Depository and Trust Corp. (PDTC) and may not avail of clearing services from the Securities Clearing Corporation of the Philippines.

The inconsistencies in R&L Investments’ records were broken down by the 秒 on Friday. It said the brokerage had securities from clients worth P738.9 million based on its 2018 audited financial statements. But a Business Partner (BP) report from the PDTC showed the company’s client securities only stood at P132.26 million.

审计的券商的财务报表也显示出它的p46.82亿只ADH净资产总额。这意味着,如果它吸收失去的证券,这将导致到p559.83亿的负资产。

The BP Report submitted by R&L Investments to CMIC as of end-August showed its client shares were worth P734.41 million, which differs from what PDTC reported to the 秒 for the same period saying client shares stood at P31.54 million.

A different audit by the CMIC also showed different figures, where client securities of R&L Investments were worth P747.82 million as of Oct. 31, against PDTC’s records showing it stood at P30.4 million.

“Sensing the gravity of the inconsistencies, the 秒 ordered R&L Investments to preserve its books, records and assets as well as the PSE, CMIC and PDTC to take all the necessary actions through a letter dated Nov. 12,” it said.

广告