元富证券

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国民身分证统一编号或外国人之国籍及居留证编号：略地址：略主旨：停止受处分人1个月期货业务之执行，期间自112年6月1日起至112年6月30日止。元富期货股份有限公司（下称元富期货）应于本处分送达之次日起10日内向本会申报上开人员停止期货业务之执行情形。 (另查受处分人目前未登录为期货业务员，请副本收受者中华民国期货业商业同业公会予以注记列管) 事实：台湾期货交易所股份有限公司（下称期交所）于○年○月○日、○月○日及○月○日对元富期货进行查核，发现受处分人于任职元富期货期间有保管期货交易人期货交易帐户之出入金帐户存折、存折金融卡及密码之情事，核已违反期货管理法令。理由及法令依据： 一、理由： (一)按「…期货业之负责人或受雇人，有违反本法或依本法所发布之命令者，除依本法处罚外，主管机关并得视情节轻重，命令停止其6个月以下业务之执行或解除其职务」为期货交易法第101条第1项所明定；次按「期货商之负责人及业务员，除不得有本法第63条及期货商管理规则第55条所禁止之行为外，并不得有下列行为…」为期货商负责人及业务员管理规则第16条第2项所明定；末按「期货商从事期货交易，不得有下列情形：…七、代期货交易人保管款项、印鉴或存折。」为期货商管理规则第55条第7款所明定。 (二)受处分人任职元富期货期间有保管期货交易人○○期货交易帐户之出入金帐户存折、存折金融卡及密码之情事，核有违反期货商负责人及业务员管理规则第16条第2项有关期货商业务员不得有期货商管理规则第55条第7款禁止行为之规定。 (三)上开违规行为有期交所○年○月○日及○年○月○日函报之查核报告为证，爰依期货交易法第101条第1项规定裁处如主旨。二、法令依据：期货交易法第101条第1项、期货商负责人及业务员管理规则第16条第2项、期货商管理规则第55条第7款。注意事项：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。正本：陈○○、元富期货股份有限公司(应受送达人：代表人○○○) 副本：台湾期货交易所股份有限公司(代表人○○○)、中华民国期货业商业同业公会(代表人○○○)、本会证券期货局(期货管理组)","Title":"元富期货股份有限公司前受雇人违反期货管理法令裁处案(金管证期字第1120334900号)","category":"3","RegTime":"2023-05-29T00:00:00","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":"2024-03-08T09:44:59","wiki_timestamp":1685318400000}]}]}},"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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