國外期貨交易法

This provision says the law is enacted to regulate and develop the futures industry in response to economic internationalization, and that other related laws apply where this law does not provide otherwise.

期貨經紀商的最低實收資本額及相關門檻由主管機關決定；若業主權益低於門檻，經紀商必須立即停止收單並向主管機關提出改善計畫。

Certain disqualified persons may not serve as founders, directors, supervisors, managers, or sales staff of a futures broker.

期貨經紀商在接受委託後，應直接到國外期貨交易所交易；本國期貨經紀商可以委託經許可的外國期貨經紀商或本國期貨經紀商代為直接交易，且須以客戶名義逐筆委託；外國期貨經紀商不得再轉委託其他期貨經紀商交易。

If someone violates Article 6, the competent authorities and the industry主管機關 act together with judicial police to stop the violation and refer the matter for legal action.

期貨經紀商受委託或受託辦理期貨交易時，須向期貨交易人收受交易保證金或權利金，並在辦理開戶時與期貨交易人簽訂受託契約。

期貨經紀商必須在主管機關指定的金融機構開立專戶，存放交易人的保證金與權利金，並與自有資金分開；其債權人不得對該專戶存款聲請扣押或主張其他權利。

期貨經紀商原則上不得自期貨交易保證金、權利金專戶提取款項，但有三種例外；若因違反此規定使期貨交易人受損，期貨交易人得請求損害賠償。

期貨經紀商在開始營業前要向指定金融機構繳存營業保證金，金額由主管機關 تعیین；金額不足時要補足。

期貨經紀商要誠實提供交易資訊並執行交易，不得作虛偽、詐欺或使人誤信的行為；期貨交易行為須由交易人逐項明確授權，不能開立概括授權帳戶。

期貨經紀商不得僱用非業務員去接洽、商談或代辦期貨交易；違反前項致損害時，期貨經紀商要負賠償責任。

This provision says futures transactions under this law are carried out when a futures trader entrusts a futures broker to trade on a foreign futures exchange.

業務員與期貨交易人接洽或商談期貨交易時，應出示工作證；在開戶前應告知商品性質、交易條件及風險，並交付可清楚閱讀的風險預告書供簽名留存。

期貨經紀商的負責人、業務員或其他從業人員，不得從事列舉的八種行為。

主管機關可以隨時派員檢查期貨經紀商的營業、財產、帳簿、書類、電訊設備及相關物件，或要求提出財務、業務報告資料；期貨經紀商不得拒絕。

期貨經紀商如果違反本法或依本法發布的命令，主管機關得視情節給予處分。

期貨經紀商在營業許可被撤銷或被命令停業時，應先結清停業前的期貨契約與期貨選擇權契約買賣或受託事務。

撤銷營業許可或被命令停業的期貨經紀商，在了結受託事務的範圍內，仍按未受影響的狀態看待。

期貨經紀商在解散或自行停業時，前二條規定準用。

If a business agent violates this law or orders issued under it, the competent authority may suspend the agent’s business for up to six months or revoke the qualification. If the qualification is revoked, the person may not obtain business-agent qualification for five years.

損害賠償請求權在知道可得賠償原因後2年內不行使就消滅；另外，自事實發生之日起超過5年的，也同樣消滅。

主管機關有權決定期貨經紀商負責人及業務員的管理事項。

This article says the competent authority is the Ministry of Finance Securities and Futures Commission, and it must consult the relevant business competent authority when the matter involves one.

Operating a futures trading advisory enterprise requires approval from the competent authority.

期貨經紀商必須組織同業公會。

本條規定期貨經紀商同業公會的主管機關是社會行政主管機關；其目的事業則受期貨經紀商主管機關指導與監督。

主管機關在必要時，可以命令公會提供參考或報告资料，或做其他一定行为，以保障期货交易公正。

若期貨交易爭議經當事人約定仲裁，仲裁地點必須在中華民國境內。

If a futures broker delays performance of an arbitration award or a settlement made under the Commercial Arbitration Act, the competent authority may order the broker to suspend business, unless the case falls under Article 23 and a lawsuit to set aside the arbitration award has been filed.

Violations of Article 6(4) or Article 18(2) are punishable by 1 to 7 years’ imprisonment and a fine of up to TWD 900,000.

A person who violates Article 15(2) or Article 16(1) is punishable by 6 months to 5 years’ imprisonment and may also be fined up to NT$600,000.

Violating the listed announcements or Article 21 can lead to up to 3 years’ imprisonment, detention, or a fine of up to NT$300,000, or both.

If a company’s representative, agent, employee, or other worker commits an offence under Articles 36 to 38 while performing business, that person is punished and the company is also fined under the relevant article.

This provision defines key terms used in the law on futures trading.

Anyone who violates the listed provisions is subject to a fine of NT$90,000 to NT$450,000.

違反第十四條或第十五條第一項的人，會被處新臺幣六萬元以上三十萬元以下罰鍰。

A person who violates certain specified articles or orders may be fined NT$30,000 to NT$150,000.

本法下的罰鍰如果經通知後仍逾期不繳，會移送法院強制執行。

The Act comes into force six months after promulgation.

期貨經紀商只能受託從事行政院公告的期貨交易種類，以及主管機關公告的國外期貨交易所期貨交易。

期貨經紀商、其分支機構，以及外國期貨經紀商在文中所列情形下，營業或設立分支機構前，須先取得主管機關許可並取得許可證照；非期貨經紀商不得受託從事期貨交易。

Futures brokers must be organized as companies limited by shares, except for public enterprises, financial institutions, or approved foreign futures brokers. The competent authority sets the establishment standards and management rules.

期貨經紀商不得兼營其他業務；期貨經紀商的董事、監察人或經理人，也不得同時兼任其他期貨經紀商的相同職務。

期貨經紀商名稱應標明「期貨經紀」字樣；營業項目並應載明受託期貨交易種類、國外期貨交易所，且在委託外國期貨經紀商交易時還要載明其名稱。

This chapter is titled “General Provisions.”

This chapter is titled “Futures Brokers Association.”

This chapter is about arbitration.

This chapter is titled “Penalties.”

This provision is a chapter heading: “Chapter 6 — Supplementary Provisions.”

This chapter is titled “期貨商” (futures merchants).