國泰期貨

{"webSite":[{"url":"https://www.cathayfut.com.tw/","type":1,"isLegal":true}],"influenceRank":"C","ico":"https://eimgjys.fxeyee.com/ico/637001898088492113/FXT637001898088492113_631782.png_wiki-template-global","logo":"https://eimgjys.fxeyee.com/logo/637001898106773298/FXT637001898106773298_635211.png_wiki-template-global","shortName":"國泰期貨","establishYear":2018,"score":"7.23","tradeEnvRank":null,"isCommentProtect":true,"searchCount":119,"summary":{"content":"{brokers name}是一家台灣交易商，成立於2018年，受Taipei Exchange監管，在2024年有1條監管機構披露信息，客戶服務：支持香港（繁體）、臺灣（繁體），主要服務台灣，{brokers name}的影響力主要分佈在台灣，影響力平均指數為5.61，綜合評級為C，天眼評分給{brokers name}打了7.23分。"},"advantage":{"advantages":["受台灣 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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":"受處分人違反期貨商管理規則第2條第2項規定，爰依期貨交易法第100條第1款規定，對受處分人予以警告處分，並依同法第119條第1項第2款規定核處新臺幣60萬元罰鍰。","RegId":"202403080922141281","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31日\n發文字號：金管證期罰字第1120349297號\n受處分人：國泰期貨股份有限公司\n營利事業統一編號：略\n地址：略\n代表人或管理人姓名：○○○\n地址：略\n主旨：受處分人違反期貨商管理規則第2條第2項規定，爰依期貨交易法第100條第1款規定，對受處分人予以警告處分，並依同法第119條第1項第2款規定核處新臺幣60萬元罰鍰。\n事實：臺灣期貨交易所股份有限公司於○○年○○月○○日、○○日及○○日對受處分人進行查核，發現受處分人有網際網路下單服務品質標準訂定之項目未包含交易安全性及交易穩定性、憑證系統壓力測試報告未以不同帳號同時進行驗章之方式進行測試、未訂定憑證系統故障復原標準作業程序、未對憑證系統與資料庫連線機制進行參數容量測試，復未落實所提改善措施配置足夠電腦系統資源，致再次發生憑證系統執行效能及回應緩慢等情事，核已違反期貨管理法令。\n理由及法令依據：\n一、按「…期貨業違反本法或本法所發布之命令者，除依本法處罰外，主管機關得視情節輕重，予以糾正或為下列之處分，並得命其限期改善：一、警告。…」及「有下列情形之一者，處新臺幣12萬元以上240萬元以下罰鍰：…二、違反依...第56條第5項...所發布之命令者」分別為期貨交易法第100條第1款及第119條第1項第2款所明定；次按「期貨商業務之經營，應依法令、章程及前項內部控制制度為之」為期貨商管理規則第2條第2項所明定。\n二、經查受處分人核有下列違反期貨商管理規則第2條第2項規定情事：\n(一)受處分人網際網路下單服務品質標準訂定之項目未包含交易安全性及交易穩定性，與受處分人內部控制制度CC-27010網路安全管理「(十)網際網路下單服務品質相關標準：公司提供網際網路下單業務時，兼顧客戶服務品質，應訂定網際網路下單服務品質相關標準，並應包含下列重點1.交易之安全性…2.交易之穩定及系統可用性…。」規定不符。\n(二)受處分人未訂定憑證系統故障復原標準作業程序，並落實執行且留存紀錄，與受處分人內部控制制度CC-30000營運持續管理「(二)與業務單位人員研討於重大異常狀況發生時，根據下列時間點，考慮當時系統發生的作業需求型態、影響的業務層面及相關人員應採的應變措施，訂定人工配合之備援計畫，以及需包含電腦系統等故障復原標準作業程序，並落實執行且留存紀錄。」規定不符。\n(三)受處分人未對憑證系統與資料庫連線機制進行參數容量測試，而未能事先預估參數資源需求導致程式無法運作，與受處分人內部控制制度CC-29000系統開發及維護「(十三)應用系統異動管理2.應用系統上線前…需訂定應用系統設置計畫，內容含下列項目：(2)容量規劃及測試。」規定不符。\n(四)受處分人僅以單一帳號進行每分鐘不同次數之驗章測試，未以不同帳號同時進行驗章之方式進行測試，無法確實評估電腦系統妥適容量，且壓力測試未完善，導致○○年○○月○○日發生交易系統異常；另未落實○○年○○月○○日所提之相關改善措施配置足夠電腦系統資源，致同年月○○日再次發生憑證系統執行效能及回應緩慢等缺失，與受處分人內部控制制度CC-27020電腦系統及作業安全管理「(五)公司(期貨經紀商)應配備經營業務所需、且有適足容量之電腦系統。」、「(六)公司(期貨經紀商)之電腦系統應訂定定期(每年至少一次)由內部或委託外部專業機構評估電腦系統容量及安全措施之機制與程序，定期對系統容量進行壓力測試，並留存紀錄。」規定不符。\n三、上開違規行為有臺灣期貨交易所股份有限公司○○年○○月○○日查核報告、同年月○○日函、受處分人○○年○○月○○日及○○日陳述意見書為證，爰依期貨交易法第100條第1款及第119條第1項第2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：國泰期貨股份有限公司（應收送達人:代表人○○先生）\n副本：臺灣期貨交易所股份有限公司（代表人○○先生）、中華民國期貨業商業同業公會（代表人○○\n女士）、本會證券期貨局（主計室）、證券期貨局（秘書室）、證券期貨局(期貨管理組)\n抄本：本會證券期貨局（期貨管理組）","Title":"國泰期貨股份有限公司違反期貨管理法令裁處案(金管證期罰字第1120349297號)","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":"國泰期貨的顧客服務需要認真改進。老實說這令人沮喪。他們的英語程度不達標，讓人很難相信他們。","CountryCode":"398","CountryName":"哈薩克斯坦","Flag":"https://img.souhei.com.cn/flags/398.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=1421791456&languageCode=zh-hk&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":"國泰期貨","ico":"https://eimgjys.fxeyee.com/ico/637001898088492113/FXT637001898088492113_631782.png_wiki-template-global","type":1,"project":0},"ApplaudCount":0,"StepUpCount":0,"ForwardCount":0,"ViewCount":154,"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":"超過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":"國泰期貨這家公司是個大騙子！取錢時，他們要我出示各種證明身份的證件，一拖再拖，總算找錯地方把錢塞進了他們的口袋。最後我的錢沒有被取走。","CountryCode":"826","CountryName":"英國","Flag":"https://img.souhei.com.cn/flags/826.png_wiki-template-global","ShareUrl":"https://apphtml.0067.cc/mobile/trader?code=1421791456&languageCode=zh-hk&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":"國泰期貨","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":"超過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"}