客戶買基金虧錢行員代墊台中商銀遭金管會 - 股票
By Andrew
at 2017-10-13T09:01
at 2017-10-13T09:01
Table of Contents
1.原文連結:
https://goo.gl/qTN7z4
2.原文內容:
金管會 12 日表示,由於台中商業銀行有行員為了拚業績,要求客戶買基金,還承諾如果
賠錢就自掏腰包或從行員的公基金帳戶領取現金,代為墊付,由於已違反信託業法,因此
,對台中商銀開罰新台幣 180 萬元。
金管會銀行局副局長莊琇媛說明,台中商銀土城分行有行員在 105 年 6 月至 106 年 1
月間辦理特定金錢信託投資國內外有價證券業務,在銷售基金商品時,對 5 名客戶承諾
如果虧損時銀行會處理,後來行員在客戶於申購基金贖回入帳金額不足申購金額之差額時
,以現金墊付或從公積金帳戶中領取現金,再存入客戶帳戶,已違反信託業法第 31 條規
定。
莊琇媛指出,雖然行員代墊金額不大約 5 萬多元,但已經違反規定,只是該行也提出適
當改善措施及對相關違失人員為適當議處,因此,金管會對台中商銀核處新台幣 180 萬
元罰鍰。
3.心得/評論:
現在基金有那麼缺業績!?
我都想做穩賺不賠的投資了
--
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