Regulations Governing Futures Commission Merchants Article 55
When engaging in futures trading, a futures commission merchant shall not:1. conceal or alter the trading information transmitted from a futures exchange;2. recommend a specific kind of futures trading to futures traders or any unspecified group of multiple persons, or provide judgment on the rise or fall of prices to induce customers to engage in unnecessary or unreasonable trading;3. directly or indirectly set up fixed places at locations other than the business premises of its head office or branch units to enter into brokerage contracts with futures traders; provided, however, that this restriction shall not apply where the FSC has provided otherwise;4. directly or indirectly set up fixed places at locations other than the business premises of its head office or branch units to accept orders for futures trading from futures traders;5. disclose, not in response to inquiries made in accordance with acts and regulations, either the particulars of orders placed by futures traders, or other secrets obtained in the course of business;6. misappropriate the funds or securities of a futures trader;7. keep custody of funds, seals, or passbooks on behalf of a futures trader; provided that this restriction shall not apply if otherwise provided by the FSC;8. fail to provide necessary reply and disposition in response to a futures trader's inquiry regarding trade particulars thus causing damage to the futures trader's rights and interests;9. make false statements in account books, statements, or documents required by acts and regulations, or fail to prepare, report, publicly announce, preserve, or keep such items;10. fail to submit, within the prescribed time limit, account books, statements, documents, or other reference materials or reports required by order of the FSC, or refuse or interfere with an inspection conducted by the FSC according to law;11. lend to or borrow from futures traders or act as an intermediary for such lending or borrowing;12. make untrue futures trading records;13. make unauthorized alteration of the time stamp affixed on trading order forms, trade reports, or other vouchers;14. conduct futures trading for customers in a volume or in an open position in excess of the amount permitted by domestic or foreign futures trading acts and regulations;15. provide trading accounts to futures traders for trading;16. agree, without having received approval, to provide discretionary trading services, thereby making decisions on a customer's behalf concerning type, quantity, and price with respect to futures trades;17. use the accounts or names of futures traders to engage in futures trading;18. use fraud, coercion, or other improper means to enter into a brokerage contract with a futures trader;19. provide information on recommended trades to a futures trader in any fashion; provided, however, that where other acts or regulations provide otherwise, they shall govern;20. use information obtained through business relationships to trade futures on one's own account, or to provide others such information for their use in trading futures;21. make use of non-employees to carry out business relating to futures trading; however, if the FSC has provided otherwise, this rule shall not apply;22. violate the standards of self-governance adopted by the Futures Association; or23. otherwise violate futures regulations or regulations of the FSC governing compulsory or prohibited acts.
中文原文 期貨商管理規則第55條
期貨商從事期貨交易，不得有下列情形：
一、對於自期貨交易所傳輸之交易資訊，予以隱匿或變更。
二、向期貨交易人或不特定多數人推介特定種類之期貨交易，或提供上漲或下跌之判斷，以勸誘從事不必要、不合理之買賣。
三、於其本公司或分支機構之營業場所外，直接或間接設置固定場所從事與期貨交易人簽訂受託契約。
但本會另有規定者，不在此限。
四、於其本公司或分支機構之營業場所外，直接或間接設置固定場所接受期貨交易人從事期貨交易之委託。
五、非應依法令所為之查詢，洩露期貨交易人委託事項及其他業務上所獲悉之秘密。
六、挪用期貨交易人款項、有價證券。
七、代期貨交易人保管款項、印鑑或存摺。
但本會另有規定者，不在此限。
八、對期貨交易人所為交易事項之查詢，未為必要之答復及處理，致有損期貨交易人之權益。
九、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、公告、備置、保存或為虛偽之記載。
十、對本會命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於本會依法所為之檢查予以拒絕或妨礙。
十一、與期貨交易人有借貸款項或為借貸款項之媒介情事。
十二、製作不實之期貨交易紀錄。
十三、擅改買賣委託書、買賣報告書或其他單據上之時間戳記。
十四、為期貨交易人從事之期貨交易數量或持有部位，超過本國或外國期貨交易法令之限制數額。
十五、提供帳戶供期貨交易人交易。
十六、未經核准接受全權委託代為決定種類、數量、價格之期貨交易。
十七、利用期貨交易人帳戶或名義買賣期貨交易。
十八、以詐欺、脅迫或其他不正當方式與期貨交易人簽訂受託契約。
十九、以任何方式向期貨交易人提供建議買賣訊息；但其他法令另有規定者，從其規定。
二十、利用業務關係得知之訊息，為自己或提供他人從事期貨交易。
二十一、利用非公司受雇人從事期貨交易有關業務。
但本會另有規定者，不在此限。
二十二、違反同業公會訂定之自律規範。
二十三、其他違反期貨管理法令或經本會規定應為或不得為之行為。
一、對於自期貨交易所傳輸之交易資訊，予以隱匿或變更。
二、向期貨交易人或不特定多數人推介特定種類之期貨交易，或提供上漲或下跌之判斷，以勸誘從事不必要、不合理之買賣。
三、於其本公司或分支機構之營業場所外，直接或間接設置固定場所從事與期貨交易人簽訂受託契約。
但本會另有規定者，不在此限。
四、於其本公司或分支機構之營業場所外，直接或間接設置固定場所接受期貨交易人從事期貨交易之委託。
五、非應依法令所為之查詢，洩露期貨交易人委託事項及其他業務上所獲悉之秘密。
六、挪用期貨交易人款項、有價證券。
七、代期貨交易人保管款項、印鑑或存摺。
但本會另有規定者，不在此限。
八、對期貨交易人所為交易事項之查詢，未為必要之答復及處理，致有損期貨交易人之權益。
九、對於依法令規定之帳簿、表冊、文件，未依規定製作、申報、公告、備置、保存或為虛偽之記載。
十、對本會命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於本會依法所為之檢查予以拒絕或妨礙。
十一、與期貨交易人有借貸款項或為借貸款項之媒介情事。
十二、製作不實之期貨交易紀錄。
十三、擅改買賣委託書、買賣報告書或其他單據上之時間戳記。
十四、為期貨交易人從事之期貨交易數量或持有部位，超過本國或外國期貨交易法令之限制數額。
十五、提供帳戶供期貨交易人交易。
十六、未經核准接受全權委託代為決定種類、數量、價格之期貨交易。
十七、利用期貨交易人帳戶或名義買賣期貨交易。
十八、以詐欺、脅迫或其他不正當方式與期貨交易人簽訂受託契約。
十九、以任何方式向期貨交易人提供建議買賣訊息；但其他法令另有規定者，從其規定。
二十、利用業務關係得知之訊息，為自己或提供他人從事期貨交易。
二十一、利用非公司受雇人從事期貨交易有關業務。
但本會另有規定者，不在此限。
二十二、違反同業公會訂定之自律規範。
二十三、其他違反期貨管理法令或經本會規定應為或不得為之行為。