I-Financial Industry Regulatory Authority (FINRA)
uhlawulise i-M1 Finance engu-$850,000 ngenxa yokuphelelwa yisikhathi ekugadweni kwenkampani ye-fintech
yabagqugquzeli bezinkundla zokuxhumana. Lesi senzo sokuphoqelela sibandakanya inkampani
umkhankaso wokumaketha wama-brokerage akhawunti.
Phakathi kukaJanuwari 2020 no-Ephreli 2023, i-M1 Finance yenza umkhankaso wokumaketha ohlanganisa izinkundla zokuxhumana ezingaphezu kuka-1,700.
abagqugquzeli ukukhuthaza izinsizakalo zefemu. Laba bagqugquzeli banikezwe umsebenzi wokudala okuqukethwe
ebonise ama-akhawunti e-brokerage e-M1 Finance, eheha abangaba amakhasimende
ngesithembiso senkululeko yezezimali kanye nokuvumelana nezimo.
Ngokomlawuli, uphenyo luveze ukwephulwa okuningi okwenziwa yi-M1 Finance kanye nabagqugquzeli bayo. Imibhalo ezinkundleni zokuxhumana ekhangisa ngeM1 Finance kubikwa ukuthi yehlulekile ukunikeza imininingwane eyiyo ngokwemithetho. I-FINRA ichaze ukuthi inkampani idukise umphakathi ngokuyenga ukuthola amaholo kalula njengoba izikhala zabagqugquzeli zisilela ekulawuleni.
amazinga.
UBill St. Louis, iPhini likaMongameli Ophethe kanye neNhloko ye
Ukuphoqelela ku FINRA, wathi: “Njengoba abatshali bezimali besebenzisa kakhulu
inkundla yezokuxhumana ukwazisa izinqumo zabo zezezimali, imithetho ye-FINRA ku
ukuxhumana nomphakathi kubaluleke kakhulu. I-FINRA izoqhubeka
cabanga ukuthi amafemu asebenzisa izinqubo futhi agcina amasistimu okuphatha lokho
aklanyelwe ngokunengqondo ukubhekana nezingozi ezihlobene nomgqugquzeli wenkundla yezokuxhumana
izinhlelo.”
Sihlawulise i-M1 Finance engu-$850,000 ngokuthunyelwe kwenkundla yezokuxhumana okwenziwe abantu abanethonya egameni lenkampani okwakungalungile noma okulinganiselayo, noma okuqukethe izimangalo eziyihaba, ezingagunyaziwe, ezethembisayo noma ezidukisayo.
Funda kabanzi ▶️ https://t.co/9qGs3rmbyS pic.twitter.com/uqD7uruZyV
- FINRA (@FINRA) Mashi 18, 2024
Ikakhulukazi, izimangalo mayelana nemajini yenkampani
uhlelo lokuboleka kwatholakala ukuthi luyadukisa, kanti abagqugquzeli bagomela ngamanga
ukuthi amakhasimende akwazi ukubuyisela imali ebolekiwe noma nini ngaphandle kwemiphumela.
Ukwengamela Kokulawula Nokuhambisana
Ukwengeza, inkampani yehlulekile ukubuyekeza noma ukugunyaza
okuthunyelwe okwenziwe ngabagqugquzeli bayo, okwephula izimfuneko zokulawula. Ngaphandle kwalokho, i-M1 Finance yayintula uhlelo olufanele lokuqondisa futhi olubhaliwe
izinqubo zokuqapha ukuxhumana kwabathonya. Ngakho-ke, inkampani ivume okutholwe ngumlawuli futhi izibophezele ekulungiseni lokhu kushiyeka.
Muva nje, i-FINRA uhlawuliswe uMorgan Stanley Smith Barney LLC a
isamba esikhulu sika-$1.6 million ngokwehluleka ukuvala ngokushesha abadayisi abahlulekile
ukuthengiselana kwezibambiso zikamasipala kanye nokuthatha izinyathelo ezifika ngesikhathi ukuze kutholwe ngokomzimba
ukuphatha noma ukulawula izikhundla zokuphepha zikamasipala ezedlula ikhalenda lama-30
izinsuku, Izibalo Zezimali kubikiwe.
Ophenyweni lwayo, i-FINRA ithole izigameko lapho
UMorgan Stanley wehlulekile ukukhansela noma ukuvala umasipala wabadayisi abangama-239
okwenziwayo okwedlula izinsuku ezingama-20 zekhalenda ngemuva kosuku lokukhokha, isamba
cishe i-$ 9 million kusukela ngoDisemba 2016 kuya ku-August 2021.
I-Financial Industry Regulatory Authority (FINRA)
uhlawulise i-M1 Finance engu-$850,000 ngenxa yokuphelelwa yisikhathi ekugadweni kwenkampani ye-fintech
yabagqugquzeli bezinkundla zokuxhumana. Lesi senzo sokuphoqelela sibandakanya inkampani
umkhankaso wokumaketha wama-brokerage akhawunti.
Phakathi kukaJanuwari 2020 no-Ephreli 2023, i-M1 Finance yenza umkhankaso wokumaketha ohlanganisa izinkundla zokuxhumana ezingaphezu kuka-1,700.
abagqugquzeli ukukhuthaza izinsizakalo zefemu. Laba bagqugquzeli banikezwe umsebenzi wokudala okuqukethwe
ebonise ama-akhawunti e-brokerage e-M1 Finance, eheha abangaba amakhasimende
ngesithembiso senkululeko yezezimali kanye nokuvumelana nezimo.
Ngokomlawuli, uphenyo luveze ukwephulwa okuningi okwenziwa yi-M1 Finance kanye nabagqugquzeli bayo. Imibhalo ezinkundleni zokuxhumana ekhangisa ngeM1 Finance kubikwa ukuthi yehlulekile ukunikeza imininingwane eyiyo ngokwemithetho. I-FINRA ichaze ukuthi inkampani idukise umphakathi ngokuyenga ukuthola amaholo kalula njengoba izikhala zabagqugquzeli zisilela ekulawuleni.
amazinga.
UBill St. Louis, iPhini likaMongameli Ophethe kanye neNhloko ye
Ukuphoqelela ku FINRA, wathi: “Njengoba abatshali bezimali besebenzisa kakhulu
inkundla yezokuxhumana ukwazisa izinqumo zabo zezezimali, imithetho ye-FINRA ku
ukuxhumana nomphakathi kubaluleke kakhulu. I-FINRA izoqhubeka
cabanga ukuthi amafemu asebenzisa izinqubo futhi agcina amasistimu okuphatha lokho
aklanyelwe ngokunengqondo ukubhekana nezingozi ezihlobene nomgqugquzeli wenkundla yezokuxhumana
izinhlelo.”
Sihlawulise i-M1 Finance engu-$850,000 ngokuthunyelwe kwenkundla yezokuxhumana okwenziwe abantu abanethonya egameni lenkampani okwakungalungile noma okulinganiselayo, noma okuqukethe izimangalo eziyihaba, ezingagunyaziwe, ezethembisayo noma ezidukisayo.
Funda kabanzi ▶️ https://t.co/9qGs3rmbyS pic.twitter.com/uqD7uruZyV
- FINRA (@FINRA) Mashi 18, 2024
Ikakhulukazi, izimangalo mayelana nemajini yenkampani
uhlelo lokuboleka kwatholakala ukuthi luyadukisa, kanti abagqugquzeli bagomela ngamanga
ukuthi amakhasimende akwazi ukubuyisela imali ebolekiwe noma nini ngaphandle kwemiphumela.
Ukwengamela Kokulawula Nokuhambisana
Ukwengeza, inkampani yehlulekile ukubuyekeza noma ukugunyaza
okuthunyelwe okwenziwe ngabagqugquzeli bayo, okwephula izimfuneko zokulawula. Ngaphandle kwalokho, i-M1 Finance yayintula uhlelo olufanele lokuqondisa futhi olubhaliwe
izinqubo zokuqapha ukuxhumana kwabathonya. Ngakho-ke, inkampani ivume okutholwe ngumlawuli futhi izibophezele ekulungiseni lokhu kushiyeka.
Muva nje, i-FINRA uhlawuliswe uMorgan Stanley Smith Barney LLC a
isamba esikhulu sika-$1.6 million ngokwehluleka ukuvala ngokushesha abadayisi abahlulekile
ukuthengiselana kwezibambiso zikamasipala kanye nokuthatha izinyathelo ezifika ngesikhathi ukuze kutholwe ngokomzimba
ukuphatha noma ukulawula izikhundla zokuphepha zikamasipala ezedlula ikhalenda lama-30
izinsuku, Izibalo Zezimali kubikiwe.
Ophenyweni lwayo, i-FINRA ithole izigameko lapho
UMorgan Stanley wehlulekile ukukhansela noma ukuvala umasipala wabadayisi abangama-239
okwenziwayo okwedlula izinsuku ezingama-20 zekhalenda ngemuva kosuku lokukhokha, isamba
cishe i-$ 9 million kusukela ngoDisemba 2016 kuya ku-August 2021.
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- Source: https://www.financemagnates.com//fintech/finra-slaps-m1-finance-with-850000-fine-for-misleading-social-media-influencer-posts/
