Securities and Futures Bureau

Financial Supervisory Commission's disciplinary action recipient: If the original copy is issued: May 26, 112, the Republic of China, the issuance number: Financial Management Certificate No. 1120334900 The person to be punished: Chen ○○ The unified number of the national identity card or the foreigner's Nationality and Residence Certificate Number: Omitted Address: Omitted Purpose: The execution of the one-month futures business of the person being punished shall be suspended from June 1, 2020 to June 30, 2012. Yuanfu Futures Co., Ltd. (hereinafter referred to as Yuanfu Futures) shall report to the Commission within 10 days from the day after this penalty is served on the execution status of the suspension of futures business by the above-mentioned personnel. (Also check that the person subject to punishment is not currently registered as a futures salesperson. Please ask the recipient of the copy, the Futures Traders Association of the Republic of China, to record and manage it.) Facts: Taiwan Futures Exchange Co., Ltd. (hereinafter referred to as the Futures Exchange) in ○ An inspection was conducted on Yuanfu Futures on ○, ○ and ○, and it was found that the person being punished had kept the deposit and withdrawal account passbook, passbook financial card and password of the futures trader's futures trading account during his employment at Yuanfu Futures. The situation has violated the Futures Management Act. Reasons and legal basis: 1. Reasons: (1) According to "...the person in charge or employee of the futures industry who violates this Act or the order issued in accordance with this Act, in addition to being punished in accordance with this Act, the competent authority may also Depending on the seriousness of the case, order the suspension of the execution of the business for a period of less than 6 months or dismissal of the duties." This is stipulated in Article 101, Paragraph 1 of the Futures Trading Act; subsequently, "The person in charge and salesperson of a futures commission merchant shall not have any person other than those prescribed in Article 101 of this Act. In addition to the acts prohibited by Article 63 and Article 55 of the Futures Commission Management Rules, the following acts shall not be performed..." is specified in Article 16, Item 2 of the Futures Commission Managers and Salespersons Management Rules. , shall not have the following circumstances: ... 7. Keep funds, seals or passbooks on behalf of futures traders." This is clearly stipulated in paragraph 7 of Article 55 of the Futures Commission Management Rules. (2) During the period when the person being punished was employed at Yuanfu Futures, he kept the deposit and withdrawal account passbook, passbook financial card and password of futures trader ○○ futures trading account, which was a violation of Article 16 of the Futures Merchant Responsible Person and Salesperson Management Rules Paragraph 2: Futures commission merchants shall not engage in conduct prohibited by Article 55, paragraph 7, of the Futures Commission Management Rules. (3) The above-mentioned violation of regulations is evidenced by the inspection report submitted by the Futures Exchange on January 0, Year 0 and Day 0, Year 0, and shall be punished in accordance with the provisions of Article 101, Paragraph 1 of the Futures Trading Act. 2. Legal basis: Article 101, paragraph 1, of the Futures Trading Law, Article 16, paragraph 2, of the Futures Commission Managers and Salespersons Management Rules, and Article 55, paragraph 7, of the Futures Commission Management Rules. Note: If the person subject to punishment is dissatisfied with this punishment, he should submit a written petition through this Association (County Citizen of Banqiao District, New Taipei City) in accordance with 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, Avenue) filed a petition with the Executive Yuan. However, in accordance with Article 93, Paragraph 1 of the Appeals Act, unless otherwise provided by law, the filing of an appeal does not stop the execution of this sanction. Original: Chen ○○, Yuanfu Futures Co., Ltd. (To be served: Representative ○○○) Copies: Taiwan Futures Exchange Co., Ltd. (Representative ○○○), Futures Trade Association of the Republic of China (Representative Person ○○○), Securities and Futures Bureau (Futures Management Section) of the Association