Regulations Governing Offshore Structured Products Article 15
The issuers, master agents, trustees or sub-distributors shall not:1. Issue or engage in trust investment of offshore structured products by means of fraud, coercion, or other improper means.2. Enter into an agreement with the investors to share profits or losses from investment in offshore structured products.3. Engage in any false or deceptive conduct or other conduct obviously inconsistent with facts or intended to mislead others.4. Engage in any act contrary to the intent of the instructions of the investor or the investor's interests, without the consent of the investor.5. Utilize an investor's funds against the investor's instructions.6. Allow any third party to use the name of the issuer, master agent, trustee, sub-distributor, or their associated persons to engage in trust investment of offshore structured products, or appoint an unqualified associated person to engage in the trust investment of offshore structured products.7. Violate any law or regulation or any code of conduct set by a self-regulatory institution when engaging in the advertising and business promotion of an offshore structured product.8. Engage in any other activity that is prohibited by law or regulations or self-regulatory rules.The remuneration system of a trustee or sub-distributor should give equitable consideration to the risk exposures of the investors, charge of fees and other factors, and shall not be based mainly on the amount of trust investment or sale.
中文原文 境外結構型商品管理規則第15條
發行人、總代理人及受託或銷售機構不得有下列行為：
一、以詐欺、脅迫或其他不正當方式發行或代理境外結構型商品之受託投資等交易事宜。
二、與投資人為投資境外結構型商品收益共享或損失分擔之約定。
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、未經投資人之同意，從事與投資人指示意旨或利益相違背之行為。
五、違反投資人之指示，運用其資金。
六、同意他人使用發行人、總代理人、受託機構、銷售機構或其業務人員之名義，從事境外結構型商品之受託投資等交易事宜；或以未符合資格之業務人員從事境外結構型商品之受託投資等交易事宜。
七、從事境外結構型商品之廣告及營業促銷活動，有違反法令或自律機構所訂之行為規範。
八、其他違反法令或自律規範規定不得從事之行為。
受託或銷售機構之薪酬制度應衡平考量投資人可能產生之各項風險、所收取之費用及其他因素，不得以受託或銷售之金額多寡為主要考量因素。
一、以詐欺、脅迫或其他不正當方式發行或代理境外結構型商品之受託投資等交易事宜。
二、與投資人為投資境外結構型商品收益共享或損失分擔之約定。
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、未經投資人之同意，從事與投資人指示意旨或利益相違背之行為。
五、違反投資人之指示，運用其資金。
六、同意他人使用發行人、總代理人、受託機構、銷售機構或其業務人員之名義，從事境外結構型商品之受託投資等交易事宜；或以未符合資格之業務人員從事境外結構型商品之受託投資等交易事宜。
七、從事境外結構型商品之廣告及營業促銷活動，有違反法令或自律機構所訂之行為規範。
八、其他違反法令或自律規範規定不得從事之行為。
受託或銷售機構之薪酬制度應衡平考量投資人可能產生之各項風險、所收取之費用及其他因素，不得以受託或銷售之金額多寡為主要考量因素。