Important Measures
Sanction on Employee of Masterlink Securities Co., Ltd. for Violating Futures Management Laws and Regulations
2024-01-18
1. Date of sanction: January 5, 2024.
2. Object of sanction: Associated person Wu of Masterlink Securities Co., Ltd. (hereinafter referred to as Masterlink Securities).
3. Legal basis for the sanction: Paragraph 1, Article 101 of the Futures Trading Act; paragraph 2, Article 29 of the Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms; paragraph 2, Article 16 of the Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants; and paragraph 19, Article 55 of the Regulations Governing Futures Commission Merchants.
4. Facts of violation: It is found that associated person Wu of Masterlink Securities provided customers with futures buying and selling suggestions through a Line group, and this is verified to have violated futures management regulations.
5. Sanctions imposed: Masterlink Securities is ordered to suspend the futures business execution of Wu for one month in accordance with paragraph 1, Article 101 of the Futures Trading Act.
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- Update: 2024-01-18