台新證券

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(三)董事会议事之运作，对派任子公司人员绩效考核陈报时，对涉及董事有利害关系案件，未以讨论案方式提报董事会；董事或列席人员对于会议事项，与其自身有利害关系者，未于董事会说明其利害关系之重要内容与应回避或不回避理由，违反证券交易法第14条之3、公开发行公司董事会议事办法第16条、第17条及公司治理问答集─董事会议事办法篇第20点规定。 (四)办理顾问聘任作业未依所订「顾问聘任管理办法」于契约载明报酬给付金额及计算方式、执行业务费用报销事宜及绩效考核依据，且该公司未订定顾问涉有利益冲突之作业程序，违反证券商内控标准CW-11000「人员聘雇作业」(二十五)规定。 (五)办理客户审查作业，因尚无控管双重国籍之机制，或未连结因应CRS调查之客户地域资讯，致未考量客户总公司所在地，影响客户风险等级评估之正确性，违反证券商内控标准CA-18100「防制洗钱作业」(二)、2.规定。 (六)办理经纪客户下单手续费折让作业，有审核条件过度宽松之情事，违反证券商内控标准CA-11600「业务收入与记录」(四)规定。 (七)受处分人风险管理部对市场风险超逾限额之控管机制及作业程序有未确实执行之情事，如董事会核定风险管理部调高公司整体风险值（VaR）限额并回溯生效、金融交易处于取得金控风控长与董事长同意前即动用等情事，有未确实依据所订风险管理办法第5条规定办理情事，违反证券商内部控制标准规范CM-19500「使用模型管理作业」 (一)及CA-17210「发行认购(售)权证作业」(三)规定。三、上开缺失显示受处分人未落实执行内部控制制度，核已违反证券商管理规则第2条第2项规定，爰依行为时证券交易法第178条之1第1项第4款规定处分如主旨。缴款方式： 一、缴款期限：自本处分送达之次日起10日内缴纳。二、请依（机关）检附之缴款单注意事项办理缴纳。注意事项： 一、受处分人如不服本处分，应于本处分送达之次日起30日内，依诉愿法第58条第1项规定，缮具诉愿书经由本会（新北市板桥区县民大道二段7号18楼）向行政院提起诉愿。惟依诉愿法第93条第1项规定，除法律另有规定外，诉愿之提起并不停止本处分之执行，受处分人仍应缴纳罚锾。二、受处分人如逾本处分所定缴款期限不缴纳罚锾者，即依行政执行法第4条第1项但书规定，移送法务部行政执行署各分署办理行政执行。正本：台新综合证券股份有限公司（代表人：郭○○先生） 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