Regulations Governing the Scope of Business, Restrictions on Transfer of Beneficiary Rights, Risk Disclosure, Marketing, and Conclusion of Contract by Trust Enterprises Article 20
Unless otherwise provided by law or regulation, a trust enterprise shall comply with the following provisions when engaging in advertising, business solicitations, or business promotional activities with respect to its corporate image or the trust business it conducts:1. A trust enterprise may not advertise, solicit, or promote business for beneficial securities when the securities offering has neither been approved by nor effectively registered with the competent authority.2. A trust enterprise may not solicit business by offering gifts or other benefits, except within the scope of limits set by the competent authority.3. A trust enterprise may not use customer deposit information to conduct inducements or to recommend investment products that do not match the customer's risk profile.4. A trust enterprise may not induce customers to obtain funds through financing and to transfer such funds for use as trust assets.5. A trust enterprise may not engage in publicity that exaggerates its past results or past performance, and may not engage in conduct that involves falsehood, fraud, nondisclosure, or otherwise creates mistaken confidence.6. A trust enterprise may not engage in other activities that adversely affect the rights and interests of beneficiaries.Except when otherwise provided by law or regulation, prior to any use outside the trust enterprise of advertisements or promotional literature when engaging in the activities of the preceding paragraph, they shall be submitted to the enterprise's chief compliance officer for review to ensure they contain no inappropriate content, misrepresentations, or matters that would be misleading to consumers or in violation of relevant laws and regulations. The advertising and literature shall comply with the following:1. The advertising or literature may not use the competent authority's approval of trust business or the trust enterprise's membership in the Trust Association as a guarantee of the value of beneficial interests.2. The advertising or literature may not cause others to mistakenly believe that either security of the principal or profitability can be guaranteed.3. The name of a specific investment instrument shall appropriately indicate its characteristics and associated risks. Names that could be misleading to customers may not be used.4. The advertising or literature shall present profitability and risk in a balanced manner, and may not use any text or design that does not agree with the content of the application documents submitted to the competent authority.5. The advertising or literature may not violate law or regulation or the content of the trust agreement.The content, administration, and other matters for compliance with respect to the advertising, business solicitations, or business promotional activities that a trust enterprise engages in shall be drafted by the Trust Association and submitted to and approved by the competent authority.
中文原文 信託業營運範圍受益權轉讓限制風險揭露及行銷訂約管理辦法第20條
信託業就其公司形象或所從事之信託業務為廣告、業務招攬及營業促銷活動時，除法令另有規定外，應遵守下列規定：
一、不得就未經主管機關核准募集或申報生效之受益證券，預為廣告或進行業務招攬、營業促銷活動。
二、不得提供贈品或以其他利益招攬業務。
但在主管機關核定範圍內，不在此限。
三、不得利用客戶之存款資料，進行勸誘或推介與客戶風險屬性不相符之投資商品。
四、不得勸誘客戶以融資方式取得資金，轉為信託財產進行運用。
五、不得對於過去之業績及績效作誇大之宣傳，並不得有虛偽、詐欺、隱匿或其他足致他人誤信之行為。
六、不得有其他影響受益人權益之事項。
信託業辦理前項活動所提供之廣告、行銷文件，除法令另有規定外，於對外使用前，應先經其法令遵循主管審核，確定內容無不當、不實陳述、誤導消費者或違反相關法令之情事，並應遵守下列規定：
一、不得以經主管機關核准信託業務之開辦，或同業公會會員資格作為受益權價值之保證。
二、不得使人誤信能保證本金之安全或獲利。
三、特定投資標的之名稱應適當表達其特性及風險，不得使用可能誤導客戶之名稱。
四、對於獲利與風險應作平衡報導，且不得載有與向主管機關申請文件內容不符之文字或設計。
五、不得違反法令或信託契約內容。
信託業所進行廣告、業務招攬及營業促銷活動之內容、管理及其他應遵循事項，由同業公會擬訂，報請主管機關核定。
一、不得就未經主管機關核准募集或申報生效之受益證券，預為廣告或進行業務招攬、營業促銷活動。
二、不得提供贈品或以其他利益招攬業務。
但在主管機關核定範圍內，不在此限。
三、不得利用客戶之存款資料，進行勸誘或推介與客戶風險屬性不相符之投資商品。
四、不得勸誘客戶以融資方式取得資金，轉為信託財產進行運用。
五、不得對於過去之業績及績效作誇大之宣傳，並不得有虛偽、詐欺、隱匿或其他足致他人誤信之行為。
六、不得有其他影響受益人權益之事項。
信託業辦理前項活動所提供之廣告、行銷文件，除法令另有規定外，於對外使用前，應先經其法令遵循主管審核，確定內容無不當、不實陳述、誤導消費者或違反相關法令之情事，並應遵守下列規定：
一、不得以經主管機關核准信託業務之開辦，或同業公會會員資格作為受益權價值之保證。
二、不得使人誤信能保證本金之安全或獲利。
三、特定投資標的之名稱應適當表達其特性及風險，不得使用可能誤導客戶之名稱。
四、對於獲利與風險應作平衡報導，且不得載有與向主管機關申請文件內容不符之文字或設計。
五、不得違反法令或信託契約內容。
信託業所進行廣告、業務招攬及營業促銷活動之內容、管理及其他應遵循事項，由同業公會擬訂，報請主管機關核定。