第一金證券

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第一金證券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：陈○○ 地址：略主旨：依证券交易法第178之1条第1项第4款规定核处受处分人罚锾新台币24万元。事实：台湾证券交易所股份有限公司（以下简称证交所）于111年10月31日对受处分人桃园分公司进行查核，发现所属分公司营业部主管与客户有借贷款项、以line受理客户委托交易等情事，及受处分人有受理未签署授权书之客户委托买卖交易之情事，显示受处分人未善尽监督管理责任及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项及第37条第13款规定。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；同规则第37条第13款规定，证券商经营证券业务，不得受理非本人或未具客户委任书之代理人申购、买卖或交割有价证券。又依证券交易法第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、证交所于111年10月31日对受处分人桃园分公司进行查核，发现受处分人有下列缺失情事： (一)分公司营业部主管与客户有借贷款项情事，核违反证券商负责人与业务人员管理规则第18条第2项第9款规定。 (二)分公司营业部主管有以line受理客户委托交易之情事，核与证券商内部控制制度标准规范ca-11210受托买卖及成交作业(十六) 之规定不符。 (三)有受理未签署授权书之客户委托买卖交易之情事，核违反证券商管理规则第37条第13款规定。三、上开缺失显示受处分人未善尽监督管理责任及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项及第37条第13款规定，爰依证券交易法第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： 第一金證券股份有限公司 (应受送达人：陈○○先生) 副本：台湾证券交易所股份有限公司（代表人林○○先生）、财团法人中华民国证券柜台买卖中心（代表人陈○○先生）、中华民国证券商业同业公会（代表人陈○○先生）、本会证券期货局(主计室)、证券期货局(秘书室)、证券期货局(证券商管理组) 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5月3日发文字号：金管证券字第11203313392号受处分人：江○○ 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：命令 第一金證券股份有限公司（下称 第一金證券）停止受处分人1个月业务之执行，并于本处分送达之次日起10日内将执行情形报会备查。事实：受处分人与客户有借贷款项、以line受理客户委托交易等情事，核已违反证券商负责人与业务人员管理规则第18条第2项第9款及第3项规定。理由及法令依据： 一、依证券商负责人与业务人员管理规则第18条第2项第9款及第3项规定，证券商之负责人及业务人员，不得与客户有借贷款项情事，以及人员执行业务，对证券商管理法令规定不得为之行为，亦不得为之。又依证券交易法第56条规定，主管机关发现证券商之董事、监察人及受雇人，有违背本法或其他有关法令之行为，足以影响证券业务之正常执行者，得随时命令该证券商停止其一年以下业务之执行。二、台湾证券交易所股份有限公司于111年10月31日对 第一金證券桃园分公司进行查核，发现受处分人与客户有借贷款项、以line受理客户委托交易等情事，核已违反证券商负责人与业务人员管理规则第18条第2项第9款及第3项规定。三、前揭违规事实，受处分人之行为已影响证券业务之正常执行，爰依证券交易法第56条规定处分如主旨。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： 第一金證券股份有限公司 (代表人陈○○先生)、江○○先生副本：台湾证券交易所股份有限公司(代表人林○○先生)、财团法人中华民国证券柜台买卖中心(代表人陈○○先生)、中华民国证券商业同业公会(代表人陈○○先生)","Title":" 第一金證券股份有限公司及其受雇人违反证券管理法令处分案。 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