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Global Broker Regulation & Inquiry App
Vanuatu Financial Services Commission
Year 1993Regulated by Government
The Vanuatu Financial Services Commission (VFSC) was formally established in December 1993, after the Vanuatu Parliament enacted the Vanuatu Financial Services Commission Act No. 35 of 1993. Previous to this, the VFSC was the Registrar of Companies and the Official Receivership Department of the Treasury since 1971 under the then, British Administration and after independence in July 1980, the Ministry of Finance and Economic Management. The VFSC has set up four departments, namely Corporate Services, Legal Enforcement & Insolvency, Supervision and Registration.
Disclose broker
Disclosure summary
- Disclosure matching Name matching
- Disclosure time 2023-12-11
- Reason for punishment The entity's licence is been revoked.
Disclosure details
Notice of Revocation of the Financial Dealers License.
Notice of Intention of Revocation of the Financial Dealer/s License
Section 7A (5) of the Financial Dealers Licensing Act [Cap 70]
Take notice that unless cause is shown to the contrary in the formof justified
written objections, the Financial Dealers Licence issued to the Company
NEPTUNE SECURITIES (V) LIMITED
Will be revoked at the expiry of 14 days on the following grounds:
(a)Failure to operate from a physical premises located in Vanuatu.
(b)Failure to maintain the following systems:
Filing system
Management and Accounting System
Business Continuity Plan
Trading Platform
(c)Failure to employ local manager.
(d)Failure to provide to the Commissioner with such information as required
from time to time.
DATED this 11th day of December 2023.
VANUATU
BRANAN KARAE
COMMISSIONER
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