Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants Article 16
The responsible person and associated persons of an FCM shall faithfully perform their business in honesty and good faith.In addition to the acts prohibited under Article 63 of the Act and Article 53 of the Regulations Governing Futures Commission Merchants, the responsible person and associated persons of an FCM may not engage in any of the following:1. Produce advertising or promotional materials in violation of relevant laws and regulations.2. Fail, prior to opening a futures trading account, to inform a futures trader of futures transaction procedures, transaction expenses, and the manner of paying margins and premiums, provided that where otherwise provided by FSC regulations, this restriction shall not apply.3. Improperly delay the execution of orders of futures traders.4. Intermingle the balance of the margin and premium accounts of individual futures traders.5. Open an account for a person acting in the name of another person, or for a person ineligible to open an account, provided that where otherwise provided by FSC regulations, this restriction shall not apply.6. Accept an order for futures trading from an agent who does not have a power of attorney from the futures trader that he/she represents.7. Accept an order for futures trading from a futures trader who has not executed a brokerage contract.8. Accept an order for futures trading despite knowledge that the futures trader intends to manipulate the futures market.9. Accept an order for futures trading despite knowledge that the futures trader is engaging in futures trading in the name of another person.10. Perform business in the name of another person or allow another person to perform business in the name of the responsible person or associated person.11. Open an account or engage in futures trading for other persons; however, if the FSC has provided otherwise, this restriction shall not apply.12. Solicit, broker, or promote the sale of futures contracts which have not been publicly announced by the FSC in accordance with Article 5 of the Act or approved in accordance with Article 12 of the Act.13. Violate other futures laws and regulations or engage in activities prohibited by the FSC.In carrying out business activities, the personnel referred to in the preceding paragraph shall not commit any act prohibited in the laws and regulations governing the administration of FCMs.An employee other than an associated person shall not commit any act listed under the two preceding paragraphs, nor perform the duties of an associated person or act as the deputy of an associated person.
中文原文 期貨商負責人及業務員管理規則第16條
期貨商負責人及業務員應本誠實及信用原則，忠實執行業務。
期貨商之負責人及業務員，除不得有本法第六十三條及期貨商管理規則第五十五條所禁止之行為外，並不得有下列行為：
一、製作廣告及宣傳資料有違反法令規定之情事。
二、於期貨交易人開戶前，未告知期貨交易流程、交易費用、繳交保證金及權利金之方式。
但本會另有規定者，不在此限。
三、對期貨交易人委託事項之執行有不當遲延之情事。
四、個別期貨交易人保證金、權利金專戶存款餘額之相互流用。
五、受理非本人或不符合開戶條件之人開戶。
但本會另有規定者，不在此限。
六、接受未具期貨交易人委任書之代理人委託從事期貨交易。
七、受託未經辦妥受託契約之期貨交易人進行期貨交易。
八、知悉期貨交易人有操縱期貨市場之意圖，仍接受委託進行交易。
九、知悉期貨交易人利用他人名義從事期貨交易，仍接受委託進行交易。
十、利用他人名義或由他人利用自己名義執行業務。
十一、代理他人開戶或從事期貨交易。
但本會另有規定者，不在此限。
十二、招攬、媒介、促銷未經本會依本法第五條公告或本法第十二條核准之期貨交易契約。
十三、其他違反期貨交易管理法令或經本會規定不得為之行為。
前項人員執行業務，對期貨商管理法令規定不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前二項情事外，亦不得執行業務員職務或代理業務員職務。
期貨商之負責人及業務員，除不得有本法第六十三條及期貨商管理規則第五十五條所禁止之行為外，並不得有下列行為：
一、製作廣告及宣傳資料有違反法令規定之情事。
二、於期貨交易人開戶前，未告知期貨交易流程、交易費用、繳交保證金及權利金之方式。
但本會另有規定者，不在此限。
三、對期貨交易人委託事項之執行有不當遲延之情事。
四、個別期貨交易人保證金、權利金專戶存款餘額之相互流用。
五、受理非本人或不符合開戶條件之人開戶。
但本會另有規定者，不在此限。
六、接受未具期貨交易人委任書之代理人委託從事期貨交易。
七、受託未經辦妥受託契約之期貨交易人進行期貨交易。
八、知悉期貨交易人有操縱期貨市場之意圖，仍接受委託進行交易。
九、知悉期貨交易人利用他人名義從事期貨交易，仍接受委託進行交易。
十、利用他人名義或由他人利用自己名義執行業務。
十一、代理他人開戶或從事期貨交易。
但本會另有規定者，不在此限。
十二、招攬、媒介、促銷未經本會依本法第五條公告或本法第十二條核准之期貨交易契約。
十三、其他違反期貨交易管理法令或經本會規定不得為之行為。
前項人員執行業務，對期貨商管理法令規定不得為之行為，亦不得為之。
非業務員之其他從業人員除不得有前二項情事外，亦不得執行業務員職務或代理業務員職務。