UAB FMĮ ,,Orion securities"

Markets in Financial Instruments

Authorization code:
LB000381

List of licenses:
Category A financial brokerage firm licence

www.orion.lt

Company code:
122033915

LEI code:
549300YCM16J7EW34I61

Category:
Financial brokerage firms

Country:
Lithuania

Correspondence address:
A. Tumėno g. 4, LT-01109, Vilnius

Address:
A. Tumėno g. 4, LT-01109, Vilnius

Ph. (8 5) 231 3833, Fax. (8 5) 231 3840

Email address:
[email protected]

Activity 14 Intermediaries and persons distributing/redeeming e-money on behalf of the electronic money institution 1

Activity	From	To
Reception and transmission of orders	2007-09-06	-
Execution of orders on behalf of clients	2007-09-06	-
Dealing on own account	2007-09-06	-
Management of portfolio of financial instruments	2007-09-06	-
Provision of investment advice	2007-09-06	-
Underwriting of financial instruments and (or) placing of financial instruments on a firm commitment basis	2007-09-06	-
Placing of financial instruments without a firm commitment basis	2007-09-06	-
Safekeeping, administration and management of financial instruments on the clients’ behalf, including safekeeping of assets and other related services, such as management of cash or collateral, excluding securities accounts management at the highest level, according to chapter vi of republic of lithuania law on securities market	2018-12-10	-
Granting of credits or loans to an investor to allow him to carry out a transaction in one or more financial instruments, where the firm granting the credit or loan is involved in the transaction	2018-12-10	-
Advice to undertakings on capital structure, industrial strategy and related matters and advice and services relating to mergers and the purchase of undertakings	2018-12-10	-
Investment research and financial analysis or other forms of general recommendation relating to transactions in financial instruments	2018-12-10	-
Services related to underwriting	2018-12-10	-
Investment services, investment activities and additional services, related to financial instruments, assets or other objects that are linked to financial derivatives, indicated in article 3(15)(5)(6)(7) and (10) of republic of lithuania law on securities market, provided that investment and additional services and investment activities performed are related to these financial derivatives	2018-12-10	-
Foreign currency exchange services, when they are related to provision of investment services	2018-12-10	-

Sanctions (3)

Enactment date	Violations of legal acts	Enforcement measure
2016-05-30	Finansinių priemonių rinkų įstatymo 13 straipsnio 1, 3-5 dalys, 14 straipsnio 1 dalis, 22 straipsnio 1 dalis, Finansų maklerio įmonių veiklos organizavimo taisyklių, patvirtintų Lietuvos banko valdybos 2012 m. liepos 12 d. nutarimu Nr. 03-158, 27 punktas, Pinigų plovimo ir teroristų finansavimo prevencijos įstatymo 9 straipsnio 9 dalis, 11 straipsnio 4 ir 5 dalys, Investicinių paslaugų teikimo ir klientų pavedimų priėmimo ir vykdymo taisyklių, patvirtintų Lietuvos banko valdybos 2012 m. liepos 12 d. nutarimu Nr. 03-157, 62,65, 67, 72, 74 punktai ir kiti patikrinimo metu nustatyti teisės aktų pažeidimai
2021-02-24	Pinigų plovimo ir teroristų finansavimo prevencijos įstatymo (redakcija, galiojusi iki 2020 m. sausio 9 d.) 9 straipsnio 16 dalis, 14 straipsnio 3 dalies 1 punktas, 29 straipsnio 1 dalies 4 punktas, Finansų rinkos dalyviams skirtų nurodymų, kuriais siekiama užkirsti kelią pinigų plovimui ir (arba) teroristų finansavimui, patvirtintų Lietuvos banko valdybos 2015 m. vasario 12 d. nutarimu Nr. 03-17 (redakcija, galiojusi iki 2020 m. vasario 29 d.), 31.1, 31.3.4 papunkčiai.	Fine : 40000 €
2015-11-09	Finansinių priemonių rinkų įstatymo 62 straipsnio 2 dalies 1 punktas	Fine : 20000 €