Securities and Futures Bureau

Financial Supervisory Commission’s disciplinary action recipients: Original copy Date of issuance: September 6, 112, Republic of China Issue number: Financial Supervisory Commission Qi Penalty No. 1120354230 Punished persons: 元大期貨股份有限公司 Unified number of profit-making enterprises: abbreviated address: abbreviated name of representative or manager: ○○○ address: abbreviated Purpose: to impose a fine of NT$120,000. Facts: The Securities Over-the-Counter Trading Center of the Republic of China, a legal person consortium, conducted a special investigation on the person subject to punishment on October 0, 2000, and found that the salesperson of the person being punished for leverage trading was involved in providing existing customers with information on the future trends of gold and foreign exchange prices. The bullish and bearish recommendations were inconsistent with the provisions of the internal control system of the sanctioned leveraged trader. The sanctioned person failed to implement the provisions of the internal control system and was found to have violated the Futures Management Act. Reasons and legal basis: 1. Reasons: (1) According to "Anyone who commits any of the following circumstances shall be subject to a fine of not less than NT$120,000 but not more than NT$2.4 million: ... 2. Violation of the regulations issued in accordance with Article 80, Paragraph 4... "Order" is stipulated in Article 119, Paragraph 1, Paragraph 2 of the Futures Trading Act; "The operation of a leveraged trader shall be conducted in accordance with laws, regulations and the internal control system of the preceding paragraph." is Article 1 of the Leveraged Dealer Management Rules. As specified in Article 2, Item 2. (2) It was found that the person subject to punishment, salesman ○○○ (hereinafter referred to as member ○), made a speech in the line group in ○○○ and month ○, involving providing bullish information to existing customers on the future trend of gold and foreign exchange prices. , the situation of short selling advice, and the internal control system of the punished leveraged trader ca-21100 "Leveraged Margin Contract Transactions" 52. "Leveraged traders should manage the behavior of their sales staff,... (6) shall not in any way disclose to "Customers provide recommended trading information" does not comply with the requirements. The person being punished failed to implement the provisions of the internal control system and violated the provisions of Article 2, Paragraph 2, of the Leverage Trader Management Rules. (3) The above-mentioned violations are evidenced by the inspection report of the Securities Over-the-counter Trading Center of the Republic of China in the month of ○○○, and the opinions expressed by the punished persons and members on the ○○month of the year ○○. According to futures trading Article 119, Paragraph 1, Paragraph 2 of the Act stipulates that the sanctions shall be based on the purport. 2. Legal basis: Article 119, Item 1, Item 2 of the Futures Trading Law, Article 2, Item 2 of the Leverage Dealer Management Rules. Payment method: 1. Payment deadline: Pay within 10 days from the day after this sanction is served. 2. Please make payment according to the precautions on the payment slip attached to the (agency). Notes: 1. If the person subject to punishment is dissatisfied with this punishment, he shall file a petition through this Association (Banqiao District, New Taipei City) in accordance with the provisions of Article 58, Paragraph 1 of the Petition Law within 30 days from the day after the punishment is served. 18th Floor, No. 7, Section 2, Xianmin Avenue) filed a petition with the Executive Yuan. However, according to Article 93, Paragraph 1 of the Petition Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction, and the person subject to the sanction shall still pay the fine. 2. If the person subject to punishment fails to pay the fine within the payment period specified in this punishment, the person shall be transferred to any branch of the Administrative Enforcement Agency of the Ministry of Justice for administrative enforcement in accordance with the proviso of Article 4, Paragraph 1 of the Administrative Enforcement Act. original: 元大期貨股份有限公司 (To be served: Representative Mr. ○○○) Copies: Securities OTC Trading Center of the Republic of China (representative Mr. ○○○), Taiwan Futures Exchange Co., Ltd. (representative Mr. ○○○), China Futures Business Association of the Republic of China (representative: Ms. ○○○), Securities and Futures Bureau of the Association (Accounting Office), Securities and Futures Bureau (Secretary’s Office), Securities and Futures Bureau (Futures Management Group)