UAB FMĮ "Orion Securities"

• LiftedBank of Lithuania (LSC)

  Debarment

  In this state since

  12 Sept 2026

  Designated

  30 May 2016

  Reason given

  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. [original (English)] 2016 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3909)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  3909

• In forceBank of Lithuania (LSC)

  MiFID

  In this state since

  12 Sept 2026

  Designated

  30 May 2016

  Reason given

  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. [original (English)] 2016 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.

  Document

  The publisher's document (https://registers.esma.europa.eu/publication/details?core=esma_registers_sanctions&docId=sn3909)

  Stated by

  ESMA Sanctions Register

  First recorded here

  12 Sept 2026

  Listing id

  3909

No ownership verdict was on file for this company on 26 October 2026.

As recorded by the assessment reading taken on 12 September 2026, 19:14 UTC, the newest on or before the date. Only “checked, not found” means a source was read in full and held nothing for the company.

Where the company is registered or connected

• LT: registered here

  No company register for this jurisdiction has been connected to this system, and none has been examined. No register here states who owns its companies.

• 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.

For each source behind this file, the newest read made on or before the date: the version of it that stood.

• ESMA Sanctions Register

  Read on 23 October 2026. No date from the publisher is read for this file, so its age is not known here. 845 records read.

Taken

12 September 2026, 19:14 UTC

Methodology

Version 4

Level

Medium

Score recorded

65 of 100

Digest

4cdb0aadb70710a58b9d3db12096693fe16b42e8A fingerprint of everything the reading says. The same reading always has this digest, and any change in it gives another.

Reading id

e16c0ca8-9176-45da-a69c-bd3a8b7cee5f

Address

https://apolika.com/entities/f5c61139-1c64-44ef-8b24-305eeed8955a/evidence?as_of=2026-10-26The same address gives the same day's file tomorrow. What was recorded after the date is not in it.

As data

https://apolika.com/api/entities/f5c61139-1c64-44ef-8b24-305eeed8955a/evidence?as_of=2026-10-26T10%3A48%3A59.540Z

Made

26 October 2026, 10:48 UTC