{"kind":"evidence_file","company":{"id":"f5c61139-1c64-44ef-8b24-305eeed8955a","name":"UAB FMĮ \"Orion Securities\"","mergedInto":null},"asOf":"2026-10-26T10:48:59.540Z","asOfBasis":"instant","generatedAt":"2026-10-27T16:24:07.262Z","claims":[{"predicate":"name","value":"fmi orion securities","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn3909","observedAt":"2026-09-12T19:04:36.052Z","confirmedAt":"2026-10-23T12:00:05.090Z","validFrom":null,"validTo":null,"supersededLater":null},{"predicate":"primary_country","value":"LT","source":"ESMA Sanctions Register","sourceUrl":"https://registers.esma.europa.eu/publication/searchRegister?core=esma_registers_sanctions","sourceRecordId":"sn3909","observedAt":"2026-09-12T19:04:36.059Z","confirmedAt":"2026-10-23T12:00:05.094Z","validFrom":null,"validTo":null,"supersededLater":null}],"listings":[{"listingId":"3909","regime":"Bank of Lithuania (LSC)","program":"Debarment","state":"lifted","stateSince":"2026-09-12T19:14:37.309Z","recordedAt":"2026-09-12T19:04:36.081Z","designatedAt":"2016-05-30T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"On 30 May 2016 by the Decision of the Director of the Supervision Service of the Bank of Lithuania the warning to UAB FMĮ „Orion Securities“ was issued regarding the infringements: 1. The company did not have evidence capable to show that unwritten customer orders were submitted and the content of these orders. 2. The company registered not all customers’ orders and failed to comply with the requirement to register orders immediately, but not later than before the end of the day. 3. The company executed clients’ orders to conclude transactions in financial instruments that were not traded in the regulated market and (or) in the multilateral trading system, and that were purchased by the right of joint ownership of the spouses, without having notary approved clients’ spouse power of attorney to conclude transactions in financial instruments. 4. The company’s financial brokers carried out financial brokers’ operations without having necessary financial broker licence issued by the Supervisory Authority or other qualification recognized by the Supervisory Authority. 5. The company failed to comply with the requirements applicable to the employees’ remuneration policy. 6. The company not adequately informed the clients about receiving inducements from third parties.\n\n[original (English)]\n\n2016 m. gegužės 30 d. Lietuvos banko Priežiūros tarnybos sprendimu UAB FMĮ „Orion Securities“ buvo įspėta už: 1. Įmonė neturėjo įrodymų, liudijančių nerašytinių klientų pavedimų pateikimo faktą ir turinį. 2. Įmonė neregistravo visų klientų perduotų pavedimų ir nesilaikė reikalavimo pavedimus užregistruoti nedelsiant, bet ne vėliau kaip iki darbo dienos pabaigos. 3. Įmonė vykdė klientų pavedimus sudaryti sandorius dėl į prekybą reguliuojamoje rinkoje ir (arba) daugiašalėje prekybos sistemoje neįtrauktų finansinių priemonių, kurias klientai įsigijo bendrosios jungtinės sutuoktinių nuosavybės teise, neturėdama notaro patvirtinto kliento sutuoktinio įgaliojimo sudaryti sandorius dėl finansinių priemonių. 4. Įmonėje dirbantys finansų makleriai atliko finansų maklerių operacijas, neturėdami reikiamos priežiūros institucijos išduotos finansų maklerio licencijos arba kitos priežiūros institucijos pripažintos kvalifikacijos. 5. Įmonė nesilaikė darbuotojų atlygio politikai taikomų reikalavimų. 6. Įmonė tinkamai neinformavo klientų apie iš trečiųjų šalių gaunamas skatinimo priemones.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3909","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"},{"listingId":"3909","regime":"Bank of Lithuania (LSC)","program":"MiFID","state":"in_force","stateSince":"2026-09-12T19:14:21.510Z","recordedAt":"2026-09-12T19:14:21.510Z","designatedAt":"2016-05-30T00:00:00.000Z","validTo":null,"legalBasis":null,"reason":"On 30 May 2016 by the Decision of the Director of the Supervision Service of the Bank of Lithuania the warning to UAB FMĮ „Orion Securities“ was issued regarding the infringements: 1. The company did not have evidence capable to show that unwritten customer orders were submitted and the content of these orders. 2. The company registered not all customers’ orders and failed to comply with the requirement to register orders immediately, but not later than before the end of the day. 3. The company executed clients’ orders to conclude transactions in financial instruments that were not traded in the regulated market and (or) in the multilateral trading system, and that were purchased by the right of joint ownership of the spouses, without having notary approved clients’ spouse power of attorney to conclude transactions in financial instruments. 4. The company’s financial brokers carried out financial brokers’ operations without having necessary financial broker licence issued by the Supervisory Authority or other qualification recognized by the Supervisory Authority. 5. The company failed to comply with the requirements applicable to the employees’ remuneration policy. 6. The company not adequately informed the clients about receiving inducements from third parties.\n\n[original (English)]\n\n2016 m. gegužės 30 d. Lietuvos banko Priežiūros tarnybos sprendimu UAB FMĮ „Orion Securities“ buvo įspėta už: 1. Įmonė neturėjo įrodymų, liudijančių nerašytinių klientų pavedimų pateikimo faktą ir turinį. 2. Įmonė neregistravo visų klientų perduotų pavedimų ir nesilaikė reikalavimo pavedimus užregistruoti nedelsiant, bet ne vėliau kaip iki darbo dienos pabaigos. 3. Įmonė vykdė klientų pavedimus sudaryti sandorius dėl į prekybą reguliuojamoje rinkoje ir (arba) daugiašalėje prekybos sistemoje neįtrauktų finansinių priemonių, kurias klientai įsigijo bendrosios jungtinės sutuoktinių nuosavybės teise, neturėdama notaro patvirtinto kliento sutuoktinio įgaliojimo sudaryti sandorius dėl finansinių priemonių. 4. Įmonėje dirbantys finansų makleriai atliko finansų maklerių operacijas, neturėdami reikiamos priežiūros institucijos išduotos finansų maklerio licencijos arba kitos priežiūros institucijos pripažintos kvalifikacijos. 5. Įmonė nesilaikė darbuotojų atlygio politikai taikomų reikalavimų. 6. Įmonė tinkamai neinformavo klientų apie iš trečiųjų šalių gaunamas skatinimo priemones.","sanctionType":null,"documentUrl":"https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3909","assertedBy":["ESMA Sanctions Register"],"sourceNow":"ESMA Sanctions Register"}],"ownership":[],"lists":[{"source":"ESMA Sanctions Register","readAt":"2026-10-23T12:00:38.517Z","recordsRead":845,"publishedAt":null,"publishedAtBasis":null,"publisherVersion":null,"publisherRecordCount":null,"daysOldWhenRead":null,"detail":null,"statement":"Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here."}],"reading":{"assessmentId":"e16c0ca8-9176-45da-a69c-bd3a8b7cee5f","takenAt":"2026-09-12T19:14:40.024Z","methodology":"v4","level":"medium","overall":65,"digest":"4cdb0aadb70710a58b9d3db12096693fe16b42e8","coverage":{"dimensions":[{"counts":{"found":1},"sources":[{"name":"ESMA Sanctions Register","status":"found","attemptedAt":"2026-09-12T19:11:10.666Z"}],"dimension":"sanctions"}],"jurisdictions":[{"gap":"No company register for this jurisdiction has been connected to this system, and none has been examined.","reasons":["registered here"],"countryId":"LT","registers":[]}]},"ownership":null},"limits":["Whether each listing was in force is rebuilt from what was recorded here: when it was first read, when a source stopped or resumed carrying it, and when its published term ended. A listing in force at an authority before this system first read it is shown from that first read.","No ownership verdict is kept for this company. Verdicts are kept for companies registered where shareholders are read here: Estonia, Latvia and Poland."]}