Regulations Governing Securities Firms Article 37
Unless otherwise provided by the laws and regulations, a securities firm operating securities business shall not:1. Provide opinion on the rise or drop of the price of certain securities to induce customers to trade.2. Agree to or provide any specific benefit or to share losses to induce customers to trade.3. Provide any account for customers to subscribe to and/or trade securities.4. Commit false, fraudulent, or other misleading act in providing information of securities to customers.5. Accept discretionary authorization from customers in connection with the type, quantity, price, and purchase or sale of securities.6. Accept settlement of customers who use the same account for offsetting purchase against sale or offsetting sale against purchase of the same type of securities. However, this restriction does not apply if the requirements of Article 37-1 are met.7. Accept settlement of customers who use different accounts for offsetting purchase against sale or offsetting sale against purchase of the same type of securities.8. Directly or indirectly set up fixed places outside the business premises of the head office or branch office to accept orders for securities trading.9. Directly or indirectly set up fixed places outside the business premises of the head office or branch office to sign brokerage agreements with customers or settle securities transactions. However, this restriction shall not apply where the FSC has provided otherwise.10. Accept securities transactions of a customer who has not signed a brokerage contract.11. Accept any of the company's directors, supervisors, or employees acting as an agent for any other person for account opening, subscription, trading, or settlement of securities.12. Accept from any person other than the customer themself the customer's instructions for account opening. However, this restriction does not apply if otherwise provided by the FSC.13. Accept from any person other than the customer themself, or from any agent without a power of attorney issued by the customer, instructions for subscription, trade, or settlement of securities. However, this restriction does not apply when the securities firm, pursuant to a three-party agreement signed jointly between it and the customer and a securities investment consulting enterprise, accepts automatic rebalancing trades automatically executed for the customer through the computer system provided by the securities investment consulting enterprise.14. Knowingly accept a trading order from a customer who intends to use an issuer's non-public information which may materially affect the price of its stocks or who intends to manipulate market prices.15. Use the name or account of a customer to subscribe to and/or trade securities.16. Disclose, other than in response to inquiries made in accordance with laws and regulations, the contents of orders placed by a customer or other secrets obtained in the course of operation of business.17. Misappropriate securities or funds owned by a customer or temporarily kept under the custody of the securities firm in the course of business.18. Keep custody for a customer of any securities, funds, seal, or passbook.19. Directly or indirectly provide funds or securities to customers for settlement purposes without having obtained the FSC's approval to conduct securities margin purchase or short sale business20. Violate settlement obligations to the securities exchange market.21. Use personnel other than securities firm personnel to solicit business, or pay unreasonable commission.22. Other acts in violation of laws and regulations governing securities or orders of the FSC on mandatory or prohibited acts.
中文原文 證券商管理規則第37條
證券商經營證券業務，除法令另有規定外，不得有下列行為：
一、提供某種有價證券將上漲或下跌的判斷，以勸誘客戶買賣。
二、約定或提供特定利益或負擔損失，以勸誘客戶買賣。
三、提供帳戶供客戶申購、買賣有價證券。
四、對客戶提供有價證券之資訊，有虛偽、詐騙或其他足致他人誤信之行為。
五、接受客戶對買賣有價證券之種類、數量、價格及買進或賣出之全權委託。
六、接受客戶以同一帳戶為同種有價證券買進與賣出或賣出與買進相抵之交割。
但符合第三十七條之一規定者，不在此限。
七、接受客戶以不同帳戶為同一種有價證券買進與賣出或賣出與買進相抵之交割。
八、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為接受有價證券買賣之委託。
九、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，從事與客戶簽訂受託契約或辦理有價證券買賣之交割。
但本會另有規定者，不在此限。
十、受理未經辦妥受託契約之客戶，買賣有價證券。
十一、受理本公司之董事、監察人、受僱人代理他人開戶、申購、買賣或交割有價證券。
十二、受理非本人開戶。
但本會另有規定者，不在此限。
十三、受理非本人或未具客戶委任書之代理人申購、買賣或交割有價證券。
十四、知悉客戶有利用公開發行公司尚未公開而對其股票價格有重大影響之消息或有操縱市場行情之意圖，仍接受委託買賣。
十五、利用客戶名義或帳戶，申購、買賣有價證券。
十六、非應依法令所為之查詢，洩露客戶委託事項及其他業務上所獲悉之秘密。
十七、挪用屬於客戶所有或因業務關係而暫時留存於證券商之有價證券或款項。
十八、代客戶保管有價證券、款項、印鑑或存摺。
十九、未經本會核准辦理有價證券買賣之融資或融券，直接或間接提供款項或有價證券供客戶辦理交割。
二十、違反對證券交易市場之交割義務。
二十一、利用非證券商人員招攬業務或給付不合理之佣金。
二十二、其他違反證券管理法令或經本會規定應為或不得為之行為。
一、提供某種有價證券將上漲或下跌的判斷，以勸誘客戶買賣。
二、約定或提供特定利益或負擔損失，以勸誘客戶買賣。
三、提供帳戶供客戶申購、買賣有價證券。
四、對客戶提供有價證券之資訊，有虛偽、詐騙或其他足致他人誤信之行為。
五、接受客戶對買賣有價證券之種類、數量、價格及買進或賣出之全權委託。
六、接受客戶以同一帳戶為同種有價證券買進與賣出或賣出與買進相抵之交割。
但符合第三十七條之一規定者，不在此限。
七、接受客戶以不同帳戶為同一種有價證券買進與賣出或賣出與買進相抵之交割。
八、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為接受有價證券買賣之委託。
九、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，從事與客戶簽訂受託契約或辦理有價證券買賣之交割。
但本會另有規定者，不在此限。
十、受理未經辦妥受託契約之客戶，買賣有價證券。
十一、受理本公司之董事、監察人、受僱人代理他人開戶、申購、買賣或交割有價證券。
十二、受理非本人開戶。
但本會另有規定者，不在此限。
十三、受理非本人或未具客戶委任書之代理人申購、買賣或交割有價證券。
十四、知悉客戶有利用公開發行公司尚未公開而對其股票價格有重大影響之消息或有操縱市場行情之意圖，仍接受委託買賣。
十五、利用客戶名義或帳戶，申購、買賣有價證券。
十六、非應依法令所為之查詢，洩露客戶委託事項及其他業務上所獲悉之秘密。
十七、挪用屬於客戶所有或因業務關係而暫時留存於證券商之有價證券或款項。
十八、代客戶保管有價證券、款項、印鑑或存摺。
十九、未經本會核准辦理有價證券買賣之融資或融券，直接或間接提供款項或有價證券供客戶辦理交割。
二十、違反對證券交易市場之交割義務。
二十一、利用非證券商人員招攬業務或給付不合理之佣金。
二十二、其他違反證券管理法令或經本會規定應為或不得為之行為。