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Administrative Sanction

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Traders for Violation of Futures Trading Act

 
 
一、Date the fine was imposed:25 September 2017.
二、Recipient of the fine:Futures traders named Yang and Chen, and the employee named Chiang of Marbo Securities Investment Consulting Co., Ltd. 
三、Legal basis of the fine:Article 105 of Futures Trading Act.
四、Facts of the violation and reasons:Futures traders named Yang and Chen, and the employee named Chiang of Marbo Securities Investment Consulting Co., Ltd., mandated a futures enterprise which has not been approved by the Competent Authority to engage in futures trading during 2015 and 2016.Such conduct violates laws of futures Trading Act.
五、Resulting fine:An administrative fine of NT$120,000 was imposed on Yang , Chen and Chiang individually pursuant to Article 119 of the Futures Trading Act.
 
 
Visitor: 246   Update: 2017-10-02