Joint-stock company "BROKING-VM" (str. 18, Joy. Chisinau, IDNO1013600011603) licensed by the investment firm of category B for the right to carry out the following types of investment services and activities: reception and transmission of orders for one or more financial instruments execution of orders for financial instruments on behalf of clients, portfolio management, investment advice and placing of financial instruments without a firm commitment.
As a result of the monitoring transactions outside regulated market/MTF, it was found that the 21.05.2015 was recorded transaction of disposal of 100% of the share capital of joint-stock Company "BROKING-VM" without the sales and potential buyer of the provisions of art. 40 para. (1) and paragraph 1. (2) of law No. 171 of 11.07.2012 "capital market" (Official Gazette of the Republic of Moldova, 2012, no. 193-197, 665) in respect of prior notification of the National Commission of Financial Market. For violations of the sanctions applied were admitted pursuant to amendments to the Code of the Republic of Moldova.
Furthermore, conformity assessment by a qualified person with a joint venture in the capital of public limited Company "BROKING-VM" documents were not submitted in full volume, and the measures indicated by the National Commission of Financial Market concerning the disposal of the shares acquired through the above transaction have not been executed.
Also, according to the reports presented by the company limited by shares "BROKING-VM 01.01.2016-30.06.2016 period, it was found that the investment firm has not provided activities and services indicated in the licence within 6 months.
Concluding from the aforesaid, by virtue of article 1, article 2. 8 lit. c) and subparagraph (c). f), art. 9 para. (1) (a). (d)), article 21 paragraph 1. (1), article 22 para. (3), art. 25 para. (2) of law No. 192-XIV of 12.11.1998 "Concerning the National Commission for financial market" (republished in the Official Gazette of the Republic of Moldova, 2007, nr. 117-126 BIS), article 1, paragraph 2, article 40. (18) the letter b), art. 140 paragraph 1. (13) (a). a) and paragraph 2 of point g), para. (14) of law No. 171 of 11.07.2012 "capital market", the regulation on licensing and authorization on the capital market, approved by the decision of the National Commission of financial market nr. 56/11 of 14.11.2014 (Official Gazette of the Republic of Moldova, 2015, 1-10, art. 11), the NATIONAL COMMISSION of FINANCIAL MARKET DECIDES: 1. Shall be suspended for a period of 30 days, the license of the company's shares in action "BROKING-VM"-the investment company of category B series NCFM nr. 000817, issued on 15 March 2015 indefinitely.
2. Warn people with functions of liability of the company limited by shares "BROKING-VM" with respect to compliance with the legislation in force the unconditional.
3. Prescribe the company's stock BROKING-VM ": 3.1 within 5 days, informing its customers about the suspension of the licence and the protection of customers ' interests and rights of others, which may be damaged by the suspension of license action. At the request of clients the investment company will return the assets held in custody, with the exception of those whose circulation is suspended by order of the National Commission of financial market nr. 27/3-a from 16.05.2014 "With respect to some transactions with securities issued by the commercial bank Moldova-Agroindbank" sa ";
3.2 within 30 days, for the purpose of undertaking measures by the individual with a qualified joint venture of 100% of the share capital of the company, in compliance with the provisions of the unconditional 40 para. (1) and paragraph 1. (2) of law No. 171 of 11.07.2012 "capital market". About measures undertaken investment company will inform the National Commission of financial market within 10 days, with the annexation of confirmation documents.
4. in the case of non-execution of this judgment, the National Commission of financial market will take necessary measures in accordance with the legislation in force.
5. The control over the execution of the given decision is put in charge of the General securities supervisory authority.
6. this decision shall enter into force on the date of its adoption, shall be published on the official website of the National Commission of financial market (www.ncpf.md) and in the Official Gazette of the Republic of Moldova.