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J.P. Morgan in Taiwan

JPMorgan Chase Bank, N.A., Taipei Branch Regulatory Disclosures

美商摩根大通 ( 原名大通 ) 銀行股份有限公司台北分公司及國際金融業務分行, 係依據中華民國法令規定於民國八十一年四月十七日奉准設立依民國九十年十月十二日經 ( 90 ) 商字第0900139520號核准, 與美商摩根銀行股份有限公司合併, 並更名為美商摩根大通銀行股份有限公司

本分公司主要營業項目為承辦各項存款、放款、保證、簽發信用狀、商業匯票之承兌、外匯匯兌,及財務顧問業務,目前之營運資金為新台幣貳億肆仟萬元







近來摩根大通集團旗下公司或部分客戶常有接獲疑似詐騙事件,以摩根大通集團旗下公司員工名義,透過臉書、網路或電話等方式佯稱合作投資外匯保證金交易業務,並可保證獲利。為避免 您的權益受損,摩根大通集團在此鄭重澄清,摩根大通集團在臺並無從事該業務,也未委託他人或員工於任何管道銷售或招攬該業務,如接獲類似業務招攬行為時,勿予回覆以免受騙。

JPMorgan companies and some of JPMorgan’s clients have recently encountered a number of suspected fraud cases, in which certain unauthorized persons have falsely assumed the sham identity of “JPMorgan employee” in soliciting foreign exchange margin trading businesses and guaranteeing returns through various channels, such as online social networks (e.g, Facebook), the Internet, or telephone calls. To prevent any harm to your interests, JPMorgan hereby clarifies that JPMorgan does not conduct any such foreign exchange margin trading business in Taiwan and has never engaged or authorized any person or employee to sell or solicit any such foreign exchange margin trading product or business. If you encounter any similar solicitation, please do not respond to it to avoid being defrauded.

請注意所公布之摩根大通銀行(下稱"本行")台北分行財務報表尚未經查核簽證,且該報表係依中華 民國一般公認會計原則編製。財務報表內容僅及於本行台北分行本身,不代表本行或其母公司–摩 根大通公司–之合併報表。由於其中資產負債表、損益表及其他文件與財務資訊尚未經查核簽證,本行以及其關係企業不保證其正確性及完整性,並不為任何錯誤或疏漏負任何責任。

Please note that the financial statements for the Taipei Branch of JPMorgan Chase Bank, N.A. (the "Bank") contained herein are unaudited statements. Such statements have been prepared in accordance with ROC GAAP. The statements contain information solely with respect to the Taipei Branch of the Bank and are not representative of the consolidated position of the Bank or its parent company, JPMorgan Chase & Co. As these balance sheets, income statements and other documents and financial information are not audited, no warranty of accuracy or completeness is given and no liability in respect of any errors or omissions, including any third party liability, is accepted by the Bank or any of its affiliates.

http://www.topwin.com.tw/money/

www.topwin.com.tw/money

財團法人金融消費評議中心 Financial Ombudsman Institution

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0800-789-885
www.foi.org.tw

摩根大通證券股份有限公司

公告事項

J.P. Morgan Securities (Taiwan) Limited Disclosures

 

摩根大通證券股份有限公司主機共置使用規則

J.P. Morgan Securities (Taiwan) Limited The Host Co-location Usage Rules

(壹) 法令依據

•   臺灣證券交易所股份有限公司主機共置(Co-Location)服務管理辦法

•   財團法人中華民國證券櫃檯買賣中心主機共置(Co-Location)服務管理辦法

Reference of Regulations:

•  Taiwan Stock Exchange Corporation Co-Location Service Management Regulations

•  Taipei Exchange Co-Location Service Management Regulations

(貳) 摩根大通證券股份有限公司(以下簡稱「本公司」)之主機共置使用規則如下:

1.本公司所提供之主機共置服務係由本公司及所屬之摩根大通亞太地區區域團隊(以下簡稱「摩根大通區域團隊」)共同管理。市場營銷、客戶選擇、信用/風險控制、文件處理、連線選項等則通常由摩根大通區域團隊領導。本公司是摩根大通集團在亞太地區眾多分支機構其中之一,且必須依照並遵守該區域團隊在平台提供方面的指導。

本公司應遵循摩根大通區域團隊就主機共置使用規則之指導。

本公司每半年定期檢視一次符合使用主機共置服務資格的客戶名單,並留存紀錄。

客戶使用主機共置服務之資格審查標準係根據該名客戶在前一年度透過本公司經紀成交之交易量、或給付予本公司之經紀費等項目是否超過以下第1點及第2點分別所列最低門檻,或如非本公司現有客戶,是否符合以下第3點條件 (三者擇一),以確定客戶是否可使用臺灣主機共置服務:

1)在前一年度透過本公司經紀成交之交易量總計應超過本公司該年度總經紀交易量的 40%;

2)在前一年度給付予本公司之經紀費總計應超過本公司該年度經紀費總收入的 30%;或

3)經摩根大通區域團隊評估所推薦之外國客戶,並經本公司董事長或總經理核可可使用主機共置服務者。

The Host Co-location Usage Rules of J.P. Morgan Securities (Taiwan) Limited (“JPMSTL”) is as below:

The host co-location service provided by JPMSTL is jointly managed by JPMSTL and its JPMorgan regional team in Asia Pacific (“JPM Regional Team”), but the marketing, selection of clients, credit/risk controls, documentation, connectivity options etc., are typically led by the JPM Regional Team. JPMSTL is one of the many members of JPMorgan Group located in the Asia Pacific region and must follow and comply with the regional team’s guidance with respect to the platform offering.

JPMSTL shall follow JPM Regional Team’s guidance on the Host Co-location Usage Rules.

JPMSTL periodically reviews the list of clients qualified for using the host co-location service on a half-yearly basis and retains the record of such review.

The criteria of a client’s qualification for using the host co-location service is reviewed based on whether the client's transaction volume through JPMSTL’s brokerage or the brokerage fees paid to JPMSTL in the preceding year exceeds the corresponding thresholds listed in 1) and 2) below, or in the case of a prospect, whether the prospect meets the condition in 3) below (a client or prospect meeting one of the three criteria listed below, as applicable, is eligible for using the host co-location service), so to determine whether a client is eligible for using the Taiwan host co-location service:

1)The client's transaction volume through JPMSTL’s brokerage in aggregate in the preceding year exceeds 40% of JPMSTL’s total brokerage trading volume in that year;

2)The brokerage fees paid by the client to JPMSTL in aggregate in the preceding year exceeds 30% of JPMSTL’s total brokerage fee revenue in that year; or

3)In the case of a prospect, the prospect is a foreign client evaluated and recommended by JPM Regional Team and is approved by the Chairman or General Manager of JPMSTL for using the host co-location service.

2. 主機共置使用規則之制定及其修訂經本公司董事長及總經理核准後生效:

核准制定日期: 109年11月5日

核准修訂日期: 110年2月4日

The creation of the Host Co-location Usage Rules and amendments thereof shall take effect upon approval by JPMSTL’s Chairman and General Manager:

Approved Creation Date: 5 November 2020

Approved Amendment Date: 4 February 2021
 



主旨: 摩根大通證券股份有限公司(下稱「本公司」)向金融監督管理委員會(下稱「主管機關」)申請證券商居家辦公已獲核准。

日期: 中華民國110年2月19日

說明: 本公司為因應嚴重特殊傳染性肺炎 (COVID-19)疫情,已向主管機關呈送證券業務居家辦公應變計畫,並經主管機關於 110 年2 月19日核准在案。經主管機關核准之本公司居家辦公營運模式相關內容包含客戶隱私、資料及記錄之安全性保護措施、居家辦公管控措施等。啟動證券業務居家辦公不影響本公司日常業務營運。
 

Subject: J.P. Morgan Securities (Taiwan) Limited’s (the “Company”) Work-From-Home Plan has been approved by the Financial Supervisory Commission (the “Regulator”).

Date: 19 February 2021

Illustration: In response to the severe and special infectious pneumonia (COVID-19) epidemic, the securities business home office contingency plan submitted by Company to the Regulator has been approved on 19 February 2021. The relevant content of the Company's home office operation model approved by the Regulator includes customer privacy, data and record security protection measures, home office control measures, etc. Starting securities business home office will not affect the Company's usual business operations.



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