台新證券

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證券業、期貨業同業公會與相關財團法人之監督及管理等。","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":"台灣","bgColor":"#2E5299","regulatorColor":"#CBD7EE"},"DisclosureDetail":[{"CategoryName":"罰款","Reason":"依行為時證券交易法第178之1條第1項第4款規定核處受處分人罰鍰新臺幣72萬元。","RegId":"202403080937412620","Content":"金融監督管理委員會　裁處書 \n受文者：如正副本\n發文日期：中華民國112年8月2日\n發文字號：金管證券罰字第1120383536號\n受處分人：台新綜合證券股份有限公司\n營利事業統一編號：23534956\n地址：臺北市中山區建國北路一段96號13樓\n代表人或管理人姓名：郭○○\n地址：略\n主旨：依行為時證券交易法第178之1條第1項第4款規定核處受處分人罰鍰新臺幣72萬元。\n事實：本會於111年8月間對受處分人進行一般業務檢查，發現受處分人辦理可轉債資產交換業務，未確認客戶是否有利用他人名義持有及規避法令規定客戶承作比例上限；以詢價圈購方式辦理有價證券承銷作業，有未具體說明不同配售標準與比例之原因，及對未符合一定往來客戶條件之客戶仍予以配售情事；對涉及董事有利害關係案件，未以討論案方式提報董事會，且未說明其利害關係之重要內容與應迴避或不迴避理由；辦理顧問聘任作業未於契約載明報酬給付金額及計算方式等事宜，且未訂定顧問涉有利益衝突之作業程序；辦理客戶審查作業，因未完整考量客戶地域資訊，致影響客戶風險等級評估之正確性；辦理經紀客戶下單手續費折讓作業，有審核條件過度寬鬆情事；受處分人風險管理部對市場風險超逾限額之控管機制及作業程序有未確實執行等情事，顯示受處分人未落實執行內部控制制度，核已違反證券商管理規則第2條第2項規定。\n理由及法令依據：\n一、依證券商管理規則第2條第2項規定，證券商業務之經營，應依法令、章程及所建立內部控制制度為之。又依行為時證券交易法第178條之1第1項第4款規定，證券商未確實執行內部控制制度者，處新臺幣24萬元以上480萬元以下罰鍰。\n二、本會檢查局於111年8月12日至111年8月31日對受處分人進行一般業務檢查，發現受處分人有下列缺失情事：\n(一)辦理可轉債資產交換業務對客戶留存同一電子郵件從事相同標的可轉換公司債之選擇權交易，未確認是否有利用他人名義持有及規避法令規定客戶承作比例上限之情事，違反證券商內部控制制度標準規範(下稱證券商內控標準)CA-17400「營業處所經營衍生性金融商品交易」(三十三)1.及財團法人中華民國證券櫃檯買賣中心證券商營業處所經營衍生性金融商品交易業務規則第37條之1規定。\n(二)以詢價圈購方式辦理有價證券承銷作業，有未具體說明不同配售標準與比例之原因，及對未符合一定往來客戶條件之客戶仍予以配售之情事，違反證券商內控標準CA-15112「詢價圈購作業」八(一)、(二)及中華民國證券商業同業公會證券承銷商詢價圈購配售辦法第2條規定。\n(三)董事會議事之運作，對派任子公司人員績效考核陳報時，對涉及董事有利害關係案件，未以討論案方式提報董事會；董事或列席人員對於會議事項，與其自身有利害關係者，未於董事會說明其利害關係之重要內容與應迴避或不迴避理由，違反證券交易法第14條之3、公開發行公司董事會議事辦法第16條、第17條及公司治理問答集─董事會議事辦法篇第20點規定。 \n(四)辦理顧問聘任作業未依所訂「顧問聘任管理辦法」於契約載明報酬給付金額及計算方式、執行業務費用報銷事宜及績效考核依據，且該公司未訂定顧問涉有利益衝突之作業程序，違反證券商內控標準CW-11000「人員聘僱作業」(二十五)規定。\n(五)辦理客戶審查作業，因尚無控管雙重國籍之機制，或未連結因應CRS調查之客戶地域資訊，致未考量客戶總公司所在地，影響客戶風險等級評估之正確性，違反證券商內控標準CA-18100「防制洗錢作業」(二)、2.規定。\n(六)辦理經紀客戶下單手續費折讓作業，有審核條件過度寬鬆之情事，違反證券商內控標準CA-11600「業務收入與記錄」(四)規定。\n(七)受處分人風險管理部對市場風險超逾限額之控管機制及作業程序有未確實執行之情事，如董事會核定風險管理部調高公司整體風險值（VaR）限額並回溯生效、金融交易處於取得金控風控長與董事長同意前即動用等情事，有未確實依據所訂風險管理辦法第5條規定辦理情事，違反證券商內部控制標準規範CM-19500「使用模型管理作業」(一)及CA-17210「發行認購(售)權證作業」(三)規定。\n三、上開缺失顯示受處分人未落實執行內部控制制度，核已違反證券商管理規則第2條第2項規定，爰依行為時證券交易法第178條之1第1項第4款規定處分如主旨。\n繳款方式：\n一、繳款期限：自本處分送達之次日起10日內繳納。\n二、請依（機關）檢附之繳款單注意事項辦理繳納。\n注意事項：\n一、受處分人如不服本處分，應於本處分送達之次日起30日內，依訴願法第58條第1項規定，繕具訴願書經由本會（新北市板橋區縣民大道二段7號18樓）向行政院提起訴願。惟依訴願法第93條第1項規定，除法律另有規定外，訴願之提起並不停止本處分之執行，受處分人仍應繳納罰鍰。\n二、受處分人如逾本處分所定繳款期限不繳納罰鍰者，即依行政執行法第4條第1項但書規定，移送法務部行政執行署各分署辦理行政執行。\n正本：台新綜合證券股份有限公司（代表人：郭○○先生）\n副本：略","Title":"台新綜合證券股份有限公司違反證券管理法令處分案。(金管證券罰字第1120383536號)","category":"3","RegTime":"2023-08-02T00:00:00","RuleName":"官方網址匹配","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 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