国泰期货

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國泰期貨股份有限公司营利事业统一编号：略地址：略代表人或管理人姓名：○○○ 地址：略主旨：受处分人违反期货商管理规则第2条第2项规定，爰依期货交易法第100条第1款规定，对受处分人予以警告处分，并依同法第119条第1项第2款规定核处新台币60万元罚锾。事实：台湾期货交易所股份有限公司于○○年○○月○○日、○○日及○○日对受处分人进行查核，发现受处分人有网际网路下单服务品质标准订定之项目未包含交易安全性及交易稳定性、凭证系统压力测试报告未以不同帐号同时进行验章之方式进行测试、未订定凭证系统故障复原标准作业程序、未对凭证系统与资料库连线机制进行参数容量测试，复未落实所提改善措施配置足够电脑系统资源，致再次发生凭证系统执行效能及回应缓慢等情事，核已违反期货管理法令。理由及法令依据： 一、按「…期货业违反本法或本法所发布之命令者，除依本法处罚外，主管机关得视情节轻重，予以纠正或为下列之处分，并得命其限期改善：一、警告。…」及「有下列情形之一者，处新台币12万元以上240万元以下罚锾：…二、违反依...第56条第5项...所发布之命令者」分别为期货交易法第100条第1款及第119条第1项第2款所明定；次按「期货商业务之经营，应依法令、章程及前项内部控制制度为之」为期货商管理规则第2条第2项所明定。二、经查受处分人核有下列违反期货商管理规则第2条第2项规定情事： (一)受处分人网际网路下单服务品质标准订定之项目未包含交易安全性及交易稳定性，与受处分人内部控制制度cc-27010网路安全管理「(十)网际网路下单服务品质相关标准：公司提供网际网路下单业务时，兼顾客户服务品质，应订定网际网路下单服务品质相关标准，并应包含下列重点1.交易之安全性…2.交易之稳定及系统可用性…。」规定不符。 (二)受处分人未订定凭证系统故障复原标准作业程序，并落实执行且留存纪录，与受处分人内部控制制度cc-30000营运持续管理「(二)与业务单位人员研讨于重大异常状况发生时，根据下列时间点，考虑当时系统发生的作业需求型态、影响的业务层面及相关人员应采的应变措施，订定人工配合之备援计画，以及需包含电脑系统等故障复原标准作业程序，并落实执行且留存纪录。」规定不符。 (三)受处分人未对凭证系统与资料库连线机制进行参数容量测试，而未能事先预估参数资源需求导致程式无法运作，与受处分人内部控制制度cc-29000系统开发及维护「 (十三)应用系统异动管理2.应用系统上线前…需订定应用系统设置计画，内容含下列项目：(2)容量规划及测试。」规定不符。 (四)受处分人仅以单一帐号进行每分钟不同次数之验章测试，未以不同帐号同时进行验章之方式进行测试，无法确实评估电脑系统妥适容量，且压力测试未完善，导致○ ○年○○月○○日发生交易系统异常；另未落实○○年○○月○○日所提之相关改善措施配置足够电脑系统资源，致同年月○○日再次发生凭证系统执行效能及回应缓慢等缺失，与受处分人内部控制制度cc-27020电脑系统及作业安全管理「(五)公司(期货经纪商)应配备经营业务所需、且有适足容量之电脑系统。」、「 (六)公司(期货经纪商)之电脑系统应订定定期(每年至少一次)由内部或委托外部专业机构评估电脑系统容量及安全措施之机制与程序，定期对系统容量进行压力测试，并留存纪录。」规定不符。三、上开违规行为有台湾期货交易所股份有限公司○○年○○月○○日查核报告、同年月○○日函、受处分人○○年○○月○○日及○○日陈述意见书为证，爰依期货交易法第100条第1款及第119条第1项第2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： 國泰期貨股份有限公司 （应收送达人:代表人○○先生） 副本：台湾期货交易所股份有限公司（代表人○○先生）、中华民国期货业商业同业公会（代表人○○ 女士）、本会证券期货局（主计室）、证券期货局（秘书室）、证券期货局(期货管理组) 抄本：本会证券期货局（期货管理组）","Title":" 國泰期貨股份有限公司违反期货管理法令裁处案(金管证期罚字第1120349297号)","category":"3","RegTime":"2023-08-31T00:00:00","RuleName":"名称匹配","Tag":{"TagName":"Sanction","Color":"#9B273A","Category":"3","Language":"en","Logo":"https://img.fx696.com/test/bg/638017088565349598/FXR638017088565349598_235021.png_wiki-template-global"},"CreateTime":"2024-03-08T09:22:15","wiki_timestamp":1693440000000}]}]}},"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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It's honestly frustrating. Their English skills are not up to the mark, making it hard to trust them.","TranslateTitle":"","TranslateContent":"国泰期货的客户服务需要认真改进。老实说这令人沮丧。他们的英语水平不达标，让人很难相信他们。","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=1421791456&languageCode=zh-cn&countryCode=840","ShowTime":"2024-01-09T10:13:06","UpdateTime":"0001-01-01T00:00:00","TraderCode":"1421791456","SubjectCode":null,"ShowTimeTimestamp":1704795186,"ShowTimeTimestampMs":1704795186000,"TraderInfo":{"code":"1421791456","name":"国泰期货","ico":"https://eimgjys.fxeyee.com/ico/637001898088492113/FXT637001898088492113_631782.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":156,"IsApplaud":0,"IsStepUp":0,"Images":[{"abbr":"https://h8imgs.ruiyin999.cn//app/2024/01/1591268257/20240109_853420.png-list","detail":"https://h8imgs.ruiyin999.cn//app/2024/01/1591268257/20240109_853420.png-detail"}],"UserId":"1591268257","IsCloud":0,"CloudIcon":null,"RegisteredTime":"超过1年","RegisteredDuration":null,"UserName":"HeartBroken","Avatar":"https://img.souhei.com.cn//thirdparty/1591268257/1591268257_99211.png_wiki-template-global","IsKOL":false,"RoleName":"交易者","IsImage":1,"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":"Co202302284731680705","OriginTitle":null,"OriginContent":"Cathay Futures This company is a big fraud! When I withdrew my money, they asked me to show various documents to prove my identity, delaying again and again, managing to find something wrong to keep my money in their pocket. In the end my money was not withdrawn.","TranslateTitle":"","TranslateContent":"国泰期货这家公司是个大骗子！取钱时，他们要我出示各种证明身份的证件，一拖再拖，总算找错地方把钱塞进了他们的口袋。最后我的钱没有被取走。","CountryCode":"826","CountryName":"英国","Flag":"https://img.souhei.com.cn/flags/826.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=1421791456&languageCode=zh-cn&countryCode=840","ShowTime":"2023-02-28T06:24:27","UpdateTime":"0001-01-01T00:00:00","TraderCode":"1421791456","SubjectCode":null,"ShowTimeTimestamp":1677565467,"ShowTimeTimestampMs":1677565467000,"TraderInfo":{"code":"1421791456","name":"国泰期货","ico":"https://eimgjys.fxeyee.com/ico/637001898088492113/FXT637001898088492113_631782.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":386,"IsApplaud":0,"IsStepUp":0,"Images":[],"UserId":"1277122546","IsCloud":0,"CloudIcon":null,"RegisteredTime":"超过1年","RegisteredDuration":null,"UserName":"FX1277122546","Avatar":"https://img.souhei.com.cn//avatar/0000000000.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":5,"CommentType":1,"FeedBack":"","sumtotal":0,"IsOldData":false,"ForwardCommentId":null,"ReplyContent":null,"ReplyCommentId":null}]},"traderCode":"1421791456"}