Regulations Governing the Responsible Persons and Business Staff Members of Bills Houses Article 12
The responsible persons and staff members of a bills house shall not have any of the following conducts:1.Engaging in fraud, deception, enticement, threat or other misleading conduct when engaging in underwriting, brokerage or proprietary trading of short-term bills or debentures;2.Accepting orders from customers to buy or sell short-term bills or debentures while concurrently buying or selling the same securities for his or her own account on the opposite side of the trade;3.Misappropriating or safekeeping the short-term notes, bills or money of customers;4.Engaging in the trading of short-term bills or debentures with information learned on the job for the purpose of reaping profits;5.Buying or selling short-term bills or debentures for him or herself or a third person in the name of a customer or using a customer's account;6.Failing to execute the trading of short-term bills or debentures or improperly delaying the execution of trade according to the instructions of customers;7.Opening an account, engaging in trading or settlement in the name of customers without their authorization;8.Failing to keep records or information owned, used or managed, or the trading records or information reasonably accurate and intact or providing the competent authority, internal audit unit and other relevant personnel with incomplete, erroneous or misleading information or report;9.Failing to keep customer's trading instructions and secrets learned on the job confidential as required;10.Spreading exaggerated, biased or false information in public that is adverse to the stability of the financial market; and11.When engaging in the business of certifying, underwriting, brokering, or trading short-term bills or bonds as well as guaranteeing or endorsing short-term bills, he/she uses unreasonable interest rate to solicit or engage in business while determining the actual interest rate without taking the factors including market risks, the house's own fund costs, operating costs and the costs of possible risks into consideration.12.Engaging in other conducts prohibited by the competent authority.
中文原文 票券商負責人及業務人員管理規則第12條
票券商負責人及業務人員不得有下列行為：
一、辦理短期票券、債券承銷、經紀或自營業務時，有隱瞞、詐騙、利誘、威脅或其他足以致人誤信之行為。
二、接受客戶委託買賣短期票券或債券時，同時以自己之計算為買入或賣出之相對行為。
三、挪用或代為保管客戶之短期票券、債券或款項。
四、意圖獲取利益，以職務上所知悉消息，從事短期票券或債券之買賣。
五、利用客戶名義或帳戶，為自己或第三人買賣短期票券或債券。
六、未依據客戶委託事項及條件，執行短期票券或債券之買賣或有不當遲延之情事。
七、未經客戶授權，以其名義辦理開戶、買賣或交割。
八、對於所擁有、使用、管理或交易之紀錄資料或訊息，未保持合理之正確性及完整性，或對主管機關、內部稽核單位及其他相關人員提供不完整、錯誤或引人誤解之資料和報告。
九、對客戶委託交易事項及職務上所知悉之秘密，未盡保密之責。
十、對外散播誇大、偏頗或不實之訊息，有礙金融市場之穩定。
十一、辦理短期票券、債券簽證、承銷、經紀或自營業務及短期票券保證、背書業務，其實際承作利率，未考量市場風險、本身資金成本、營運成本及預期風險損失成本等因素，以不合理之利率招攬或從事業務之行為。
十二、其他經主管機關規定禁止之行為。
一、辦理短期票券、債券承銷、經紀或自營業務時，有隱瞞、詐騙、利誘、威脅或其他足以致人誤信之行為。
二、接受客戶委託買賣短期票券或債券時，同時以自己之計算為買入或賣出之相對行為。
三、挪用或代為保管客戶之短期票券、債券或款項。
四、意圖獲取利益，以職務上所知悉消息，從事短期票券或債券之買賣。
五、利用客戶名義或帳戶，為自己或第三人買賣短期票券或債券。
六、未依據客戶委託事項及條件，執行短期票券或債券之買賣或有不當遲延之情事。
七、未經客戶授權，以其名義辦理開戶、買賣或交割。
八、對於所擁有、使用、管理或交易之紀錄資料或訊息，未保持合理之正確性及完整性，或對主管機關、內部稽核單位及其他相關人員提供不完整、錯誤或引人誤解之資料和報告。
九、對客戶委託交易事項及職務上所知悉之秘密，未盡保密之責。
十、對外散播誇大、偏頗或不實之訊息，有礙金融市場之穩定。
十一、辦理短期票券、債券簽證、承銷、經紀或自營業務及短期票券保證、背書業務，其實際承作利率，未考量市場風險、本身資金成本、營運成本及預期風險損失成本等因素，以不合理之利率招攬或從事業務之行為。
十二、其他經主管機關規定禁止之行為。