WikiFX, as an independent third-party information service platform, is dedicated to providing users with comprehensive and objective broker regulatory information services. WikiFX does not directly engage in any forex trading activities, nor does it offer any form of trading channel recommendations or investment advice. The ratings and evaluations of brokers by WikiFX are based on publicly available objective information and take into account the regulatory policy differences of various countries and regions. Broker ratings and evaluations are the core products of WikiFX, and we firmly oppose any commercial practices that may compromise their objectivity and fairness. We welcome supervision and suggestions from users worldwide. To report any concerns, please contact us: report@wikifx.com
您当前语言与浏览器默认语言不一致,是否切换?
切换
Global Broker Regulation & Inquiry App

Securities and Futures Bureau

Year 2004Regulated by Government

To promote the Taiwan national economic development, facilitate sound developments of the securities and futures markets, maintain the orderly transaction of the markets, and safeguard the rights and interests of securities investors and futures traders, the Financial Supervisory Commission (FSC) establishes the Securities and Futures Bureau (SFB) for purposes of the supervision and regulation of the securities and futures markets and securities and futures enterprises, and the formulation, planning, and implementation of related policies, laws, and regulations. This includes supervision and regulation of the review and trading of futures trading contracts; supervision and regulation of securities and futures enterprises; supervision and regulation of foreign investment in domestic securities and futures markets; Supervision and regulation of securities industry associations, futures industry associations, and related foundations etc.

Disclose broker
Sanction Temporarily closed
Disclosure summary
  • Disclosure matching Website matching
  • Disclosure time 2023-05-29
  • Reason for punishment The Taiwan Futures Exchange Co., Ltd. (hereinafter referred to as the Futures Exchange) conducted an inspection on Yuanfu Futures on ○, ○, ○, and ○, and found that the person subject to punishment had no custody during his employment at Yuanfu Futures. The deposit and withdrawal account passbook, passbook financial card and password of the futures trader's futures trading account have been found to have violated the Futures Management Act.
Disclosure details

Punishment case against a former employee of Yuanfu Futures Co., Ltd. for violating the Futures Management Act (Finance Management Certificate No. 1120334900)

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
View original
Annex
More regulatory disclosure

Check whenever you want

Download App for complete information

Select Country/Region
  • Hong Kong

  • Taiwan

    tw.wikifx.com

  • United States

    us.wikifx.com

  • South Korea

    kr.wikifx.com

  • United Kingdom

    uk.wikifx.com

  • Japan

    jp.wikifx.com

  • Indonesia

    id.wikifx.com

  • Vietnam

    vn.wikifx.com

  • Australia

    au.wikifx.com

  • Singapore

    sg.wikifx.com

  • Thailand

    th.wikifx.com

  • Cyprus

    cy.wikifx.com

  • Germany

    de.wikifx.com

  • Russia

    ru.wikifx.com

  • Philippines

    ph.wikifx.com

  • New Zealand

    nz.wikifx.com

  • Ukraine

    ua.wikifx.com

  • India

    in.wikifx.com

  • France

    fr.wikifx.com

  • Spain

    es.wikifx.com

  • Portugal

    pt.wikifx.com

  • Malaysia

    my.wikifx.com

  • Nigeria

    ng.wikifx.com

  • Cambodia

    kh.wikifx.com

  • Italy

    it.wikifx.com

  • South Africa

    za.wikifx.com

  • Turkey

    tr.wikifx.com

  • Netherlands

    nl.wikifx.com

  • United Arab Emirates

    ae.wikifx.com

  • Colombia

    co.wikifx.com

  • Argentina

    ar.wikifx.com

  • Belarus

    by.wikifx.com

  • Ecuador

    ec.wikifx.com

  • Egypt

    eg.wikifx.com

  • Kazakhstan

    kz.wikifx.com

  • Morocco

    ma.wikifx.com

  • Mexico

    mx.wikifx.com

  • Peru

    pe.wikifx.com

  • Pakistan

    pk.wikifx.com

  • Tunisia

    tn.wikifx.com

  • Venezuela

    ve.wikifx.com

United States
※ The content of this website abides with local laws and regulations.
You are visiting the WikiFX website. WikiFX Internet and its mobile products are an enterprise information searching tool for global users. When using WikiFX products, users should consciously abide by the relevant laws and regulations of the country and region where they are located.
consumer hotline:006531290538
Official Email:support@wikifx.com;
Mobile Phone Number:234 706 777 7762;61 449895363
Telegram:+60 103342306
Whatsapp:+852-6613 1970;
License or other information error corrections, please send the information to:qawikifx@gmail.com
Cooperation:fxeyevip@gmail.com