Regulations Governing The Discretionary Foreign Currency Margin Trading Business Conducted By Authorized Banks Article 14
The Authorized Institution, the director and auditor of such Authorized Institution, the manager of the Dedicated Unit, relevant staff, and other related employees, shall avoid any conflict of interest when conducting the Discretionary Margin Trading. In addition to comply with the relevant laws/regulations, the following activities are prohibited:1.Conducting foreign currency margin trading or Discretionary Margin Trading for a third party whose interest conflicts with that of the Consignee, or engaging in trading that may impair the Consignee's rights and interests.2.The Authorized Institution, with gross negligence or willful misconduct, conducts counter-trade between consigned investment funds and its own funds or other Consignees' investment funds, buckets with the Consignee, or violates the agreement, internal procedures, and internal controls...etc..3.Utilizing the Consignee's trading account to conduct foreign currency margin trading for itself or for any third party other than the Consignee.4.Sub-mandating or assigning all or part of the discretionary agreement to other parties.5.Without any proper reasons, alters the completed consigned trade made in the name of the consignee's account to the name of the Authorized Institution, the employees of the Authorized Institution described above, the account bank or any third parties other than the Consignee, and vice versa.6.Other activities prohibited by the Bank.In addition to the preceding regulations, the manager of the Dedicated Unit, relevant staff, or other related employees shall not conduct the foreign currency margin trading or Discretionary Margin Trading for themselves.
中文原文 指定銀行辦理外幣保證金交易代客操作業務管理辦法第14條
指定機構、指定機構之董事、監察人及專責單位之經理人、相關業務人員、其他受僱人，辦理代客操作業務應避免利益衝突之發生，除應遵守相關法令規定外，不得有下列行為：
一、為與委任人有利益衝突之第三人從事外幣保證金交易或代客操作業務，以及從事足以損害委任人權益之交易。
二、因故意或重大過失，將受委任之資金與其自有資金或其他委任人交付之資金，為相對委託之交易，或自行與委任人對作，或違反契約、內部作業規範、內部控制等行為。
三、利用委任人之交易帳戶，為自己或委任人以外之第三人從事外幣保證金交易。
四、將委任操作契約之全部或部分之權利，複委任他人或轉讓他人。
五、無正當理由，將已成交之買賣委託，由委任人名義改為自己、帳戶行或委任人以外之其他第三人。
反之，亦同。
六、其他經本行禁止從事之行為。
除前項各款之規定外，專責單位之經理人、相關業務人員、其他受僱人均不得為自己從事外幣保證金交易或代客操作業務。
一、為與委任人有利益衝突之第三人從事外幣保證金交易或代客操作業務，以及從事足以損害委任人權益之交易。
二、因故意或重大過失，將受委任之資金與其自有資金或其他委任人交付之資金，為相對委託之交易，或自行與委任人對作，或違反契約、內部作業規範、內部控制等行為。
三、利用委任人之交易帳戶，為自己或委任人以外之第三人從事外幣保證金交易。
四、將委任操作契約之全部或部分之權利，複委任他人或轉讓他人。
五、無正當理由，將已成交之買賣委託，由委任人名義改為自己、帳戶行或委任人以外之其他第三人。
反之，亦同。
六、其他經本行禁止從事之行為。
除前項各款之規定外，專責單位之經理人、相關業務人員、其他受僱人均不得為自己從事外幣保證金交易或代客操作業務。