Capital Markets Board or in short SPK, Midas Securities Inc. company for various reasons. 27 million 778 thousand 312 TL imposed an administrative fine of . So why? At work MidasDetails about the sentence given to…
CMB imposed a penalty on Midas
SPK According to information shared by Midasreceived an administrative fine for some reasons such as the system backup of the order transmission system not meeting the requirements in the legislation, problems occurring in the information system infrastructure on various dates, and opening accounts and making transactions for customers by establishing a contractual relationship without the address confirmation by the institution.
The administrative fines imposed on Midas and their reasons are as follows;
Reason for PenaltyAmount of Penalty: The system backup of the Intermediary Institution's order transmission system does not meet the requirements in the legislation. 5 million 833 thousand 734 TL. Failures to occur in the information system infrastructure of the Intermediary Institution on various dates. 1 million 944 thousand 578 TL. Establishing a contractual relationship by the Intermediary Institution without providing address confirmation and opening accounts to customers and carrying out transactions. .3 million TLOpening accounts and making transactions for customers by establishing a contractual relationship without making a video call, which is mandatory when opening an account via remote identification method by the Intermediary Institution.4 million 500 thousand TLAccepting documents that do not comply with the legislation in account openings carried out by the Intermediary Institution through remote identification.1 million 500 thousand TL Failure to fulfill the obligation of using NFC (Near field communication) technology in account openings carried out by remote identification by the Intermediary Institution. 1 million TL Failure of the Intermediary Institution to fulfill its obligation to perform suitability tests for its customers. 4 million 500 thousand TL Violation of the legislation in the use of timestamp by the Intermediary Institution .1 million 500 thousand TL Acting contrary to the legislation in the posts and statements made by the Intermediary Institution through its social media accounts. 3 million TL Detecting deficiencies in the internal control system of the Intermediary Institution. 1 million TLTotal Penalty:27 million 778 thousand 312 TL
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