Regulations Governing Internal Operating Systems and Procedures for Banks Conducting Financial Derivatives Business Article 33
When making a recommendation, or providing information and marketing materials on a structured product, a bank shall not engage in any of the following acts:1. Using the fact of a structured product having received the approval of the competent authority or having filed with the competent authority for record or reference as substantiation of any application items, or using such fact in a statement or recommendation guaranteeing the value of the structured product.2. Misleading others into believing that the principal or profitability is guaranteed.3. Using a name for the structured product that might mislead customers.4. Offering gifts or other benefits as an inducement to solicit the purchase of structured products.5. Making exaggerated claims about past performance or against competitors.6. Engaging in any false or deceptive conduct or other conduct apparently inconsistent with facts or intentionally misleading others.7. Containing information that contravenes laws or regulations, the contract, or information contained in the prospectus.8. Making predictions of future performance of the structured product.9. Violating the self-regulatory rules for advertisement and promotional activities set forth by the Bankers Association.10. Any other act prejudicial to the rights or interests of investors.No general advertisement or public solicitation is allowed for structured products that may be traded with professional customers only.
中文原文 銀行辦理衍生性金融商品業務內部作業制度及程序管理辦法第33條
銀行從事結構型商品之推介或提供相關資訊及行銷文件，不得有下列情形：
一、藉主管機關對金融商品之核准、核備或備查，作為證實申請事項或保證結構型商品價值之陳述或推介。
二、使人誤信能保證本金之安全或保證獲利。
三、結構型商品使用可能誤導客戶之名稱。
四、提供贈品或以其他利益勸誘他人購買結構型商品。
五、誇大過去之業績或為攻訐同業之陳述。
六、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。
七、內容違反法令、契約、產品說明書內容。
八、為結構型商品績效之臆測。
九、違反銀行公會訂定廣告及促銷活動之自律規範。
十、其他影響投資人權益之事項。
結構型商品限於專業客戶交易者，不得為一般性廣告或公開勸誘之行為。
一、藉主管機關對金融商品之核准、核備或備查，作為證實申請事項或保證結構型商品價值之陳述或推介。
二、使人誤信能保證本金之安全或保證獲利。
三、結構型商品使用可能誤導客戶之名稱。
四、提供贈品或以其他利益勸誘他人購買結構型商品。
五、誇大過去之業績或為攻訐同業之陳述。
六、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。
七、內容違反法令、契約、產品說明書內容。
八、為結構型商品績效之臆測。
九、違反銀行公會訂定廣告及促銷活動之自律規範。
十、其他影響投資人權益之事項。
結構型商品限於專業客戶交易者，不得為一般性廣告或公開勸誘之行為。