Regulations Governing Leverage Transaction Merchants Article 22
The responsible person and associated persons of a leverage transaction merchant shall faithfully carry out their duties in keeping with the principle of good faith and honesty.In addition to conduct prohibited under Article 63 of the Act, the enterprise and the persons referred to in the preceding paragraph may not engage in the following conduct:1. Conducting trading of leverage contracts by means of fraud, coercion, or other improper methods.2. Entering into any agreement with a customer to share benefits or bear losses, or directly or indirectly soliciting, agreeing to accept, or accepting improper benefits.3. Engaging in conduct involving falsehood, deception, or other conduct obviously inconsistent with fact or that would be sufficient to cause mistaken confidence on the part of others.4. Engaging in any act contrary to the intent of the instructions of a client or the client s interests without the consent of such client.5. Allowing a third party to use the name of the enterprise or the person to engage in leverage contract trading business.6. Directly or indirectly setting up a fixed place outside the place of business of the company to sign written agreements with customers, except when the competent authority has provided otherwise.7. Misappropriating the funds or securities of a client.8. Keeping custody of a customers funds, personal seal, or passbook on their behalf, except when the competent authority has provided otherwise.9. Failing to provide the necessary reply or handling in response to a client s inquiry regarding the particulars of a trade, thus causing damage to the client s rights and interests.10. Making false statements in account books, statements, or documents required by laws and regulations, or failing to prepare, report, publicly announce, make available, or retain such items.11. Failing to submit, within the prescribed time limit, account books, statements, documents, or other reference materials or reports required by order of the competent authority, or refusing or interfering with an inspection conducted by the competent authority pursuant to laws.12. Lending to or borrowing from clients, or acting as an intermediary for such lending or borrowing.13. Producing false trading records.14. Using information obtained through business relationships to conduct trading on one's own account, or to provide others with such information for their use in trading.15. Making use of non-employees to carry out business relating to leverage contract trading.16. Carrying out the duties of one's position under another's name or having another carry out one's duties under one's own name.17. Conducting other acts in violation of laws and regulations or orders of the competent authority mandating or prohibiting certain acts.In conducting business, the persons referred to in the preceding paragraph may not engage in any conduct that a leverage transaction merchant is prohibited from engaging in by law or regulation.Personnel other than associated persons are likewise prohibited from the conduct referred to in the preceding two paragraphs, and furthermore may neither perform the duties of an associated person nor act as a deputy for an associated person.
中文原文 槓桿交易商管理規則第22條
槓桿交易商之負責人及業務員應本誠實及信用原則，忠實執行業務。
前項事業及人員，除不得有本法第六十三條所禁止之行為外，並不得有下列行為：
一、以詐欺、脅迫或其他不正當方式辦理槓桿保證金契約交易業務。
二、與客戶約定分享利益或承擔損失，直接或間接要求、期約或收受不正利益。
三、為虛偽、欺罔、或其他顯著有違事實或故意使他人誤信之行為。
四、未經客戶之同意，從事與客戶指示意旨或利益相違背之行為。
五、同意他人使用其名義，從事槓桿保證金契約交易。
六、於公司之營業場所外，直接或間接設置固定場所從事與客戶簽訂書面契約。
但主管機關另有規定者，不在此限。
七、挪用客戶款項、有價證券。
八、代客戶保管款項、印鑑或存摺。
但主管機關另有規定者，不在此限。
九、對客戶所為交易事項之查詢，未為必要之答復及處理，致有損客戶之權益。
十、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。
十一、對主管機關命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於主管機關依法所為之檢查予以拒絕或妨礙。
十二、與客戶有借貸款項或為借貸款項之媒介情事。
十三、製作不實之交易紀錄。
十四、利用業務關係得知之訊息，為自己或提供他人從事交易。
十五、利用非公司受雇人從事槓桿保證金契約交易有關業務。
十六、利用他人名義或由他人利用自己名義執行業務。
十七、其他違反法令或經主管機關規定應為或不得為之行為。
前項人員執行業務，對依法令槓桿交易商不得為之行為，亦不得為之。
非業務員之其他從業人員除不得違反前二項規定外，亦不得執行業務員職務或代理業務員職務。
前項事業及人員，除不得有本法第六十三條所禁止之行為外，並不得有下列行為：
一、以詐欺、脅迫或其他不正當方式辦理槓桿保證金契約交易業務。
二、與客戶約定分享利益或承擔損失，直接或間接要求、期約或收受不正利益。
三、為虛偽、欺罔、或其他顯著有違事實或故意使他人誤信之行為。
四、未經客戶之同意，從事與客戶指示意旨或利益相違背之行為。
五、同意他人使用其名義，從事槓桿保證金契約交易。
六、於公司之營業場所外，直接或間接設置固定場所從事與客戶簽訂書面契約。
但主管機關另有規定者，不在此限。
七、挪用客戶款項、有價證券。
八、代客戶保管款項、印鑑或存摺。
但主管機關另有規定者，不在此限。
九、對客戶所為交易事項之查詢，未為必要之答復及處理，致有損客戶之權益。
十、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。
十一、對主管機關命令提出之帳簿、表冊、文件或其他參考報告資料，逾期不提出，或對於主管機關依法所為之檢查予以拒絕或妨礙。
十二、與客戶有借貸款項或為借貸款項之媒介情事。
十三、製作不實之交易紀錄。
十四、利用業務關係得知之訊息，為自己或提供他人從事交易。
十五、利用非公司受雇人從事槓桿保證金契約交易有關業務。
十六、利用他人名義或由他人利用自己名義執行業務。
十七、其他違反法令或經主管機關規定應為或不得為之行為。
前項人員執行業務，對依法令槓桿交易商不得為之行為，亦不得為之。
非業務員之其他從業人員除不得違反前二項規定外，亦不得執行業務員職務或代理業務員職務。