台新證券

{"webSite":[{"url":"https://www.tssco.com.tw/index.jsp","type":1,"isLegal":true}],"influenceRank":"B","ico":"https://eimgjys.fxeyee.com/ico/636972610637904808/FXT636972610637904808_510305.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/636972610672123320/FXT636972610672123320_409407.jpg_wiki-template-global","shortName":"台新證券","establishYear":2018,"score":"7.25","tradeEnvRank":null,"isCommentProtect":true,"searchCount":303,"summary":{"content":"{brokers name}是一家台湾交易商，成立于2018年，受台湾证券柜台买卖中心监管，在2024年有1条监管机构披露信息，客户服务：支持香港(繁体)，主要服务台湾，{brokers name}的影响力主要分布在澳大利亚、德国、台湾，影响力平均指数为6.59，综合评级为B，天眼评分给{brokers name}打了7.25分。"},"advantage":{"advantages":["受台湾 TPEx金融机构的监管","成立时间较久"],"disadvantages":["多条曝光信息","有监管机构负面信息披露","会收到大部分的客户回答，但等待时间较长"]},"highLight":{"regulatorCountry":["台湾"],"tradingPlatformType":null,"fundstransferType":null,"enterCondition":null,"maxLever":null,"transactionType":null,"allowCryptocurrency":false,"allowEATransaction":false,"accountNames":null},"safety":{"content":"{brokers name}受到台湾证券柜台买卖中心等金融机构的监管，{brokers name}总部位于台湾，成立于2018年。{brokers name}安全吗？","regulators":[{"RegulatorCode":"2546788311","FullName":"台湾证券柜台买卖中心","ShortName":"台湾 TPEx","OrganizationName":"台新證券","States":600,"Color":"#338066","Annotation":"监管中","RegulationNumber":"未公布","CountryName":"台湾"}],"level":1,"badState":null,"regulatoryDisclosure":{"total":1,"regulatorInfo":[{"RegInfo":{"fullName":"台湾证券期货局","ShortName":"SFB","ico":"https://eimgjys.fxeyee.com/ico/637983342432121847/FXR637983342432121847_203871.png_wiki-template-global","hico":"https://eimgjys.fxeyee.com/hico/637983342452275847/FXR637983342452275847_658138.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/637983342413838085/FXR637983342413838085_671304.png_wiki-template-global","flag":"https://img.souhei.com.cn/flag/226af2f3114485aa/158.png_wiki-template-global","desc":"为发展台湾国民经济、促进台湾证券期货市场健全发展、保障证券投资人及期货交易人权益及维护证券期货市场交易秩序，金融监督管理委员会特设证券期货局（以下简称本局），办理证券期货市场及证券期货业之监督、管理及其政策、法令之拟订、规划及执行等业务。其中包括期货交易契约之审核与买卖之监督及管理；证券业与期货业之监督及管理；外资投资国内证券与期货市场之监督及管理；证券业、期货业同业公会与相关财团法人之监督及管理等。","banner":"https://img.souhei.com.cn/bg/637983342471806547/FXR637983342471806547_983458.jpg_wiki-template-global","bannerV2":"https://img.souhei.com.cn/bg/637983342471806547/FXR637983342471806547_983458.jpg_wiki-template-global","code":"2567767704","country":"台湾","bgColor":"#2E5299","regulatorColor":"#CBD7EE"},"DisclosureDetail":[{"CategoryName":"罚款","Reason":"依行为时证券交易法第178之1条第1项第4款规定核处受处分人罚锾新台币72万元。","RegId":"202403080937412620","Content":"金融监督管理委员会裁处书受文者：如正副本发文日期：中华民国112年8月2日发文字号：金管证券罚字第1120383536号受处分人：台新综合证券股份有限公司营利事业统一编号：23534956地址：台北市中山区建国北路一段96号13楼代表人或管理人姓名：郭○○ 地址：略主旨：依行为时证券交易法第178之1条第1项第4款规定核处受处分人罚锾新台币72万元。事实：本会于111年8月间对受处分人进行一般业务检查，发现受处分人办理可转债资产交换业务，未确认客户是否有利用他人名义持有及规避法令规定客户承作比例上限；以询价圈购方式办理有价证券承销作业，有未具体说明不同配售标准与比例之原因，及对未符合一定往来客户条件之客户仍予以配售情事；对涉及董事有利害关系案件，未以讨论案方式提报董事会，且未说明其利害关系之重要内容与应回避或不回避理由；办理顾问聘任作业未于契约载明报酬给付金额及计算方式等事宜，且未订定顾问涉有利益冲突之作业程序；办理客户审查作业，因未完整考量客户地域资讯，致影响客户风险等级评估之正确性；办理经纪客户下单手续费折让作业，有审核条件过度宽松情事；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等情事，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。理由及法令依据： 一、依证券商管理规则第2条第2项规定，证券商业务之经营，应依法令、章程及所建立内部控制制度为之。又依行为时证券交易法第178条之1第1项第4款规定，证券商未确实执行内部控制制度者，处新台币24万元以上480万元以下罚锾。二、本会检查局于111年8月12日至111年8月31日对受处分人进行一般业务检查，发现受处分人有下列缺失情事： (一)办理可转债资产交换业务对客户留存同一电子邮件从事相同标的可转换公司债之选择权交易，未确认是否有利用他人名义持有及规避法令规定客户承作比例上限之情事，违反证券商内部控制制度标准规范(下称证券商内控标准)CA-17400「营业处所经营衍生性金融商品交易」(三十三)1.及财团法人中华民国证券柜台买卖中心证券商营业处所经营衍生性金融商品交易业务规则第37条之1规定。 (二)以询价圈购方式办理有价证券承销作业，有未具体说明不同配售标准与比例之原因，及对未符合一定往来客户条件之客户仍予以配售之情事，违反证券商内控标准CA- 15112「询价圈购作业」八(一)、(二)及中华民国证券商业同业公会证券承销商询价圈购配售办法第2条规定。 (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） 副本：略","Title":"台新综合证券股份有限公司违反证券管理法令处分案。 (金管证券罚字第1120383536号)","category":"3","RegTime":"2023-08-02T00:00:00","RuleName":"官方网址匹配","Tag":{"TagName":"Sanction","Color":"#9B273A","Category":"3","Language":"en","Logo":"https://img.fx696.com/test/bg/638017088565349598/FXR638017088565349598_235021.png_wiki-template-global"},"CreateTime":"2024-03-08T09:37:41","wiki_timestamp":1690934400000}]}]}},"openAccount":null,"tradeEnv":{"TotalDescribe":null,"name":null,"logo":null,"Grade":null,"SpeedGrade":null,"FastestSpeed":null,"FastestSpeed_Open":null,"FastestSpeed_Close":null,"SlowestSpeed":null,"SlowestSpeed_Open":null,"SlowestSpeed_Close":null,"SpeedOverRate":null,"SlipGrade":null,"AveSlip":null,"MaxSlip":null,"MaxSlip_Positive":null,"MaxSlip_Negative":null,"SlipOverRate":null,"CostGrade":null,"AveCost_wh":null,"AveCost_xau":null,"CostOverRate":null,"SwapGrade":null,"AveLongSwap_wh":null,"AveShortSwap_wh":null,"AveLongSwap_xau":null,"AveShortSwap_xau":null,"SwapOverRate":null,"OffLineGrade":null,"AveReconnectNum":null,"AveReconnectTime":null,"OffLineOverRate":null,"AveSpeed":null,"SpeedDescribe_new":null,"SpeedDescribefast_new":null,"SpeedDescribefastopen_new":null,"SpeedDescribefastclose_new":null,"SpeedDescribeslow_new":null,"SpeedDescribeslowopen_new":null,"SpeedDescribeslowclose_new":null,"SlipDescribe_new":null,"SlipDescribemax_new":null,"SlipDescribemax1_new":null,"SlipDescribemax2_new":null,"CostDescribe_new":null,"CostDescribe1_new":null,"CostDescribe2_new":null,"SwapDescribe_new":null,"SwapDescribe1_new":null,"SwapDescribe2_new":null,"OffLineDescribe_new":null,"color":null,"DayTime":null,"TotalTraders":null,"Totalcount":null,"totalbanlance":null,"Sort":null,"SpeedSort":null,"SlipSort":null,"CostSort":null,"SwapSort":null,"OffLineSort":null,"SpeedDescribe":null,"SpeedDescribefast":null,"SpeedDescribefastopen":null,"SpeedDescribefastclose":null,"SpeedDescribeslow":null,"SpeedDescribeslowopen":null,"SpeedDescribeslowclose":null,"SlipDescribe":null,"SlipDescribemax":null,"SlipDescribemax1":null,"SlipDescribemax2":null,"CostDescribe":null,"CostDescribe1":null,"CostDescribe2":null,"SwapDescribe":null,"SwapDescribe1":null,"SwapDescribe2":null,"OffLineDescribe":null,"TotalBrokers":null},"softwareInfo":null,"customerService":{"content":"{brokers name}的客户服务支持1种语言、1个地区，您可以通过电话与他们联系，并收到大部分的相关回答，但是等待时间可能会比较长。","customerServiceDetail":[{"LanguageName":"香港(繁体)","TraderInvestType":1,"TypeName":"客服电话","Content":"+886 4050-9799"}]},"influenceInfo":{"content1":"{brokers name}的影响力主要分布在澳大利亚、德国、台湾，影响力平均指数为6.59，综合评级为B，详细信息如下：","content2":"{brokers name}的市场策略：搜索来源Google 97.83%、Yahoo 1.13%、Bing 0.59%、DuckDuckGo 0.19%、Image 0.18%、其他 0.08%。"},"exposure":{"total":2,"items":[{"code":"202311142092621467","traderCode":"5311393723","language":"zh-hk","originalTitle":"IG赢赛事不给出金还要求缴验证金","originalContent":"我被诈骗了...叫我投注赛事赢了还说要缴验证金缴到一半才发现被诈骗了是不是很难拿回钱了😭希望帮帮我 被骗了差不多快14万😭我很後悔...我怎麽可以那麽笨","translateTitle":"","tranlateContent":"","time":"2023-11-14 11:36:45","wikiTimestamp":0},{"code":"202311135312628321","traderCode":"5311393723","language":"zh-hk","originalTitle":"如果您在投注赛事时没有提款，则需要支付验证押金","originalContent":"我会将所有详细信息发送给您。","translateTitle":"","tranlateContent":"","time":"2023-11-13 14:55:25","wikiTimestamp":0}]},"comment":{"Total":3,"CommentTotal":3,"AveageScore":2,"Items":[{"CommentId":"Co202312186761317349","OriginTitle":"Bet but Don't Withdraw? Prepare for a Verification Deposit at Taishin Securities","OriginContent":"Cautionary note for those considering Taishin Securities: Be aware that if you don't withdraw funds after betting on events, you'll be required to pay a verification deposit. It's an important detail to factor into your decision-making process.","TranslateTitle":"验证或支付：台新证券对未提款的赌注的隐藏存款要求","TranslateContent":"考虑台新证券的注意事项：请注意，如果您在投注赛事后不提取资金，您将需要支付验证押金。这是您决策过程中需要考虑的重要细节。","CountryCode":"398","CountryName":"哈萨克斯坦","Flag":"https://img.souhei.com.cn/flags/398.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=5311393723&languageCode=zh-cn&countryCode=840","ShowTime":"2023-12-18T15:48:53","UpdateTime":"0001-01-01T00:00:00","TraderCode":"5311393723","SubjectCode":null,"ShowTimeTimestamp":1702914533,"ShowTimeTimestampMs":1702914533000,"TraderInfo":{"code":"5311393723","name":"台新證券","ico":"https://eimgjys.fxeyee.com/ico/636972610637904808/FXT636972610637904808_510305.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":440,"IsApplaud":0,"IsStepUp":0,"Images":[],"UserId":"1560574264","IsCloud":0,"CloudIcon":null,"RegisteredTime":"超过1年","RegisteredDuration":null,"UserName":"gtter","Avatar":"https://img.souhei.com.cn//thirdparty/1560574264/1560574264_72030.png_wiki-template-global","IsKOL":false,"RoleName":"交易者","IsImage":0,"IsReply":0,"IsTopping":false,"ReplyCount":0,"LanguageCode":"en","TransLanguageCode":null,"CommentStatus":200,"StasticId":null,"CommentScore":1,"CommentType":1,"FeedBack":"","sumtotal":0,"IsOldData":false,"ForwardCommentId":null,"ReplyContent":null,"ReplyCommentId":null},{"CommentId":"Co202211167691565082","OriginTitle":null,"OriginContent":"I cant understand the website’s design, so confusing...the company seems to offer a variety of financial services, the regulation condition performs good as well. But i can have better choices, i will not consider this platform.","TranslateTitle":"","TranslateContent":"看不懂网站的设计，好乱。。。公司似乎提供各种金融服务，监管条件也很好。但是我可以有更好的选择，我不会考虑这个平台。","CountryCode":"156","CountryName":"中国","Flag":"https://img.souhei.com.cn/flags/156.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=5311393723&languageCode=zh-cn&countryCode=840","ShowTime":"2022-11-16T06:51:58","UpdateTime":"0001-01-01T00:00:00","TraderCode":"5311393723","SubjectCode":null,"ShowTimeTimestamp":1668581518,"ShowTimeTimestampMs":1668581518000,"TraderInfo":{"code":"5311393723","name":"台新證券","ico":"https://eimgjys.fxeyee.com/ico/636972610637904808/FXT636972610637904808_510305.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":962,"IsApplaud":0,"IsStepUp":0,"Images":[],"UserId":"1019750292","IsCloud":0,"CloudIcon":null,"RegisteredTime":"超过1年","RegisteredDuration":null,"UserName":"天空之城22171","Avatar":"https://img.souhei.com.cn//thirdparty/1019750292/1019750292_67058.png_wiki-template-global","IsKOL":false,"RoleName":"交易者","IsImage":0,"IsReply":0,"IsTopping":false,"ReplyCount":0,"LanguageCode":"en","TransLanguageCode":null,"CommentStatus":200,"StasticId":null,"CommentScore":2,"CommentType":1,"FeedBack":"","sumtotal":0,"IsOldData":false,"ForwardCommentId":null,"ReplyContent":null,"ReplyCommentId":null},{"CommentId":"Co202211153231515102","OriginTitle":null,"OriginContent":"It does have a customer support Center that may help you...","TranslateTitle":"","TranslateContent":"它确实有一个客户支持中心，可以帮助您...","CountryCode":"344","CountryName":"中国香港","Flag":"https://img.souhei.com.cn/flags/344.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=5311393723&languageCode=zh-cn&countryCode=840","ShowTime":"2022-11-15T10:25:48","UpdateTime":"0001-01-01T00:00:00","TraderCode":"5311393723","SubjectCode":null,"ShowTimeTimestamp":1668507948,"ShowTimeTimestampMs":1668507948000,"TraderInfo":{"code":"5311393723","name":"台新證券","ico":"https://eimgjys.fxeyee.com/ico/636972610637904808/FXT636972610637904808_510305.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":1374,"IsApplaud":0,"IsStepUp":0,"Images":[],"UserId":"1016118294","IsCloud":0,"CloudIcon":null,"RegisteredTime":"超过1年","RegisteredDuration":null,"UserName":"FX1016118294","Avatar":"https://img.souhei.com.cn//thirdparty/1016118294/1016118294_88962.png_wiki-template-global","IsKOL":false,"RoleName":"交易者","IsImage":0,"IsReply":0,"IsTopping":false,"ReplyCount":0,"LanguageCode":"en","TransLanguageCode":null,"CommentStatus":200,"StasticId":null,"CommentScore":3,"CommentType":1,"FeedBack":"","sumtotal":0,"IsOldData":false,"ForwardCommentId":null,"ReplyContent":null,"ReplyCommentId":null}]},"traderCode":"5311393723","code":"5311393723"}