[{"_1":2,"_127":-5,"_128":-5},"loaderData",{"_3":4,"_28":29,"_30":31},"root",{"_5":6,"_7":-5,"_8":9},"locale","en","session","ENV",{"_10":11,"_12":13,"_14":15,"_16":17,"_18":19,"_20":21,"_22":23,"_24":25,"_26":27},"APP_ENV","production","APP_URL","https://veritask.ai","GA_MEASUREMENT_ID","G-X1BV3QBZEM","META_PIXEL_ID","4698743733686194","TIKTOK_PIXEL_IDS","D8A3HTBC77U9J3L243V0","CLARITY_PROJECT_ID","wn9rn7xb4l","AMPLITUDE_API_KEY","74a0c7cc1509a379d3647ec140dd375","MIDTRANS_CLIENT_KEY","Mid-client-hwjEU5pmwAKVMbIA","MIDTRANS_SNAP_URL","https://app.midtrans.com/snap/snap.js","routes/$locale",{"_5":6},"routes/$locale.search-engine.regulation.$regulationId",{"_32":33,"_34":35},"regulationId","d6aca2ac-3634-400e-8a26-4033c2980f21","regulationData",{"_36":33,"_37":38,"_123":124,"_125":126},"regulation_id","overview",{"_39":40,"_41":42,"_43":44,"_45":46,"_47":48,"_49":50,"_51":52,"_53":54,"_60":61,"_62":63,"_67":68,"_75":76,"_77":78,"_79":80,"_81":82,"_83":-5,"_84":85,"_86":87,"_88":-5,"_89":90,"_91":92,"_93":94,"_95":96,"_102":103,"_104":105,"_106":107,"_108":109,"_110":111,"_112":113,"_114":115,"_116":117,"_118":119,"_120":-5,"_121":122},"title","Peraturan Otoritas Jasa Keuangan Nomor 3/POJK.04/2020 Tahun 2020 tentang Perilaku Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek","short_title","Peraturan Otoritas Jasa Keuangan Nomor 3/POJK.04/2020 Tahun 2020","number","3/POJK.04/2020","year","2020","published_date","2020-02-17","effective_date","2020-02-19","status_id","3611a577-44a0-41ad-986d-7457e14f52ff","status",{"_55":52,"_56":57,"_58":59},"id","name","Berlaku","description","Peraturan yang masih berlaku dan memiliki kekuatan hukum yang mengikat","type_id","87562a34-231b-40c7-9b97-1b05bf771685","type",{"_55":61,"_56":64,"_65":66},"Peraturan Otoritas Jasa Keuangan","short_name","Peraturan OJK","subjects",[69,72],{"_55":70,"_56":71,"_58":-5},"54d08c24-6ebe-45ac-aceb-ef774a10c175","Badan Usaha & Perdagangan",{"_55":73,"_56":74,"_58":-5},"feb8f454-1631-42b4-a835-e67ae0546d27","Pasar Modal & Bursa Komoditi","tags",[],"location","Otoritas Jasa Keuangan","place_of_enactment","Jakarta","theme","Perilaku Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek","subject_matter","abstract","\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n


2020
Peraturan Otoritas Jasa Keuangan NO. 3/POJK.04/2020, LN 2020/ NO 47; https://peraturan.go.id/: 8 HLM
Peraturan Otoritas Jasa Keuangan TENTANG Perilaku Perusahaan Efek Yang Melakukan Kegiatan Usaha Sebagai Perantara Pedagang Efek\r\n
ABSTRAK:	\n \n \n
CATATAN:	\n \n Peraturan Otoritas Jasa Keuangan ini mulai berlaku pada tanggal 19 Februari 2020. \n \n

","regulatory_relationship","Peraturan ini mencabut:\n1. Keputusan Ketua Badan Pengawas Pasar Modal Nomor Kep-29/PM/1996 tentang Perilaku Perusahaan Efek yang Melakukan Kegiatan sebagai Perantara Pedagang Efek beserta Peraturan Nomor V.E.1 yang merupakan lampirannya.","scope_and_parties","policy_content","

Peraturan Otoritas Jasa Keuangan ini mengatur tentang perilaku Perusahaan Efek yang melakukan kegiatan usaha sebagai Perantara Pedagang Efek. Latar belakangnya adalah peralihan fungsi, tugas, dan wewenang pengaturan dan pengawasan kegiatan jasa keuangan di sektor pasar modal dari Badan Pengawas Pasar Modal dan Lembaga Keuangan kepada Otoritas Jasa Keuangan. Tujuannya adalah memberikan kejelasan dan kepastian hukum mengenai perilaku Perusahaan Efek yang melakukan kegiatan usaha sebagai Perantara Pedagang Efek.

Ketentuan substansial dalam peraturan ini mencakup kewajiban Perusahaan Efek untuk mendahulukan kepentingan nasabah, memperhatikan keadaan keuangan dan tujuan investasi nasabah dalam memberikan rekomendasi, memberitahukan kepentingan pada Efek yang direkomendasikan, dan memberitahukan jika transaksi dilakukan untuk kepentingan sendiri atau afiliasi. Perusahaan Efek juga dilarang menggunakan Efek atau uang nasabah sebagai jaminan pinjaman tanpa persetujuan tertulis, memberikan rekomendasi tanpa memperhatikan tujuan investasi dan keadaan keuangan nasabah, serta memberikan jaminan atas kerugian nasabah. Selain itu, Perusahaan Efek wajib membubuhkan jam, hari, dan tanggal pada pesanan nasabah, memberikan konfirmasi transaksi, dan menerbitkan tanda terima. Wakil Perantara Pedagang Efek dilarang melakukan transaksi yang tidak tercatat atau tidak sesuai perintah nasabah, wajib memberikan keterangan mengenai Efek, dan dilarang menerima bagian laba dari nasabah.

","transitional_provisions","(-)","sanctions","1. Setiap pihak yang melanggar ketentuan Pasal 2 hingga Pasal 12 dikenai sanksi administratif.\n2. Sanksi administratif dapat berupa: peringatan tertulis, denda, pembatasan kegiatan usaha, pembekuan kegiatan usaha, pencabutan izin usaha, pembatalan persetujuan, dan/atau pembatalan pendaftaran.\n3. Otoritas Jasa Keuangan dapat melakukan tindakan tertentu terhadap pelanggaran peraturan ini dan mengumumkan pengenaan sanksi kepada masyarakat.","revokes",[97],{"_98":99,"_100":101},"text","Keputusan Ketua Badan Pengawas Pasar Modal Nomor Kep-29/PM/1996 tentang Perilaku Perusahaan Efek yang Melakukan Kegiatan sebagai Perantara Pedagang Efek beserta Peraturan Nomor V.E.1 yang merupakan lampirannya","link","","revoked_by",[],"partially_revokes",[],"partially_revoked_by",[],"amends",[],"amended_by",[],"partially_amends",[],"partially_amended_by",[],"establishes",[],"established_by",[],"constitutional_review","is_verified",false,"english_excerpt","\n

STATE GAZETTE OF THE REPUBLIC OF INDONESIA
No. 47, 2020

REGULATION OF FINANCIAL SERVICES AUTHORITY
REPUBLIC OF INDONESIA
NUMBER 3/POJK.04/2020
CONCERNING
THE CONDUCT OF SECURITIES COMPANIES ENGAGED IN BUSINESS ACTIVITIES
AS SECURITIES BROKER-DEALERS

BY THE GRACE OF GOD ALMIGHTY

BOARD OF COMMISSIONERS OF THE FINANCIAL SERVICES AUTHORITY,

Considering:

that with the transfer of functions, duties, and authorities for the regulation and supervision of financial services activities in the capital market sector, including the conduct of securities companies engaged in business activities as securities broker-dealers, from the Capital Market and Financial Institution Supervisory Agency to the Financial Services Authority;
that to provide clarity and certainty regarding the conduct of securities companies engaged in business activities as securities broker-dealers, the provisions of laws and regulations in the capital market

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