by HannahsDad
Mon Jul 11, 2016 3:23 pm
The Futures Exchange Securities Regulator at http://fesr.us
Created 9th March 2015 for 1 year only and subsequently renewed.
The FESR's own trading and clearing systems provide FESR with information about Members' trading positions, and this is substantiated with information from Members themselves about themselves and their clients' positions. In addition, Members compliance telephone conversations with their clients and which are recorded and the FESR has access to obtain a copy of the recording or a transcript of the conversation.
When they enter into client agreements with FESR Member brokers, clients agree to provide all information and documents relating to their trading on FESR to the Member and further agree that the Member may provide such information and documents to FESR. FESR may use that information for the purposes set out in the law and the Operating Rules and in accordance with its customs, usages and practices.
As the operator of a licensed futures and options market and licensed clearing and settlement facilities, FESR has responsibilities under the Corporations Act and the Operating Rules of those entities to ensure that its market is fair, orderly and transparent, its clearing and settlement facilities are conducted fairly and effectively, its business is carried on with due regard for the interests and protection of the public and its Members are properly qualified and experienced and conduct their business honestly, fairly and efficiently.
These responsibilities require FESR to collect, use and retain information, including personal and/or confidential information, about FESR members, their officers and their clients. Information which is obtained for these purposes is used only to enable FESR to carry on its functions and activities and not for any other purpose.
Personal/Confidential Information and how FESR uses it to comply with its Regulatory Responsibilities
Headquarter
50 Broadway, 23rd Floor New York, NY 10004-1607
Created 9th March 2015 for 1 year only and subsequently renewed.
Money Mule explained: https://en.wikipedia.org/wiki/Money_mule
Reshipping explained: http://about.usps.com/publications/pub3 ... ch_022.htm
Boiler room scams explained: https://economicfrauds.net/boiler-room
Reshipping explained: http://about.usps.com/publications/pub3 ... ch_022.htm
Boiler room scams explained: https://economicfrauds.net/boiler-room
