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| 標題 | 金融監督管理委員會證券期貨局每日新聞（5月30日） |
| 內容 | <p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span lang="EN-US"><o:p></o:p></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">壹、公開發行公司等動態</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">一、預計</span><span lang="EN-US"><font face="Calibri">5</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">月</span><span lang="EN-US"><font face="Calibri">31</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">日生效。</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">二、停止公開發行案件：無。<br /><br /></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">貳、處永美科技材料股份有限公司負責人罰鍰乙案</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">一、裁罰時間：</span><span lang="EN-US"><font face="Calibri">105</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">年</span><span lang="EN-US"><font face="Calibri">5</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">月</span><span lang="EN-US"><font face="Calibri">30</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">日</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">二、受裁罰之對象：永美科技材料股份有限公司為行為之負責人劉○○君。</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">三、裁罰之法令依據：證券交易法第</span><span lang="EN-US"><font face="Calibri">14</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條第</span><span lang="EN-US"><font face="Calibri">3</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">項、發行人證券商證券交易所會計主管資格條件及專業進修辦法第</span><span lang="EN-US"><font face="Calibri">3</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條。</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">四、違反之事實理由：永美科技材料股份有限公司公告申報之</span><span lang="EN-US"><font face="Calibri">104</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">年度財務報告，未依證券交易法第</span><span lang="EN-US"><font face="Calibri">14</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條第</span><span lang="EN-US"><font face="Calibri">3</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">項規定，由符合發行人證券商證券交易所會計主管資格條件及專業進修辦法第</span><span lang="EN-US"><font face="Calibri">3</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條規定之會計主管簽名或蓋章。</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">五、裁罰結果：依證券交易法第</span><span lang="EN-US"><font face="Calibri">178</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條第</span><span lang="EN-US"><font face="Calibri">1</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">項第</span><span lang="EN-US"><font face="Calibri">2</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">款及第</span><span lang="EN-US"><font face="Calibri">179</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">條第</span><span lang="EN-US"><font face="Calibri">1</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">項規定，就永美科技材料股份有限公司之違規行為，處為行為之負責人罰鍰新臺幣</span><span lang="EN-US"><font face="Calibri">24</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">萬元。<br /><br /></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">參、華頓證券投資信託股份有限公司申報第三次追加募集「華頓平安貨幣市場證券投資信託基金」申報生效案</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">華頓證券投資信託股份有限公司第三次追加募集「華頓平安貨幣市場證券投資信託基金」，總面額新臺幣</span><span lang="EN-US"><font face="Calibri">200</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">億元，自</span><span lang="EN-US"><font face="Calibri">105</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">年</span><span lang="EN-US"><font face="Calibri">5</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">月</span><span lang="EN-US"><font face="Calibri">30</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">日申報生效。該基金為開放式貨幣市場型基金，第三次追加募集後合計最高發行總面額為新臺幣</span><span lang="EN-US"><font face="Calibri">600</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">億元，保管機構由中國信託商業銀行股份有限公司擔任。<br /><br /></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">肆、核准凱基證券投資信託股份有限公司申請募集「凱基銀髮商機證券投資信託基金」</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">金融監督管理委員會於本（</span><span lang="EN-US"><font face="Calibri">30</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">）日核准凱基證券投資信託股份有限公司申請國內募集投資國內外之股票型基金「凱基銀髮商機證券投資信託基金」（簡稱該基金），總面額新臺幣</span><span lang="EN-US"><font face="Calibri">200</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">億元整，由第一商業銀行股份有限公司擔任基金保管機構，並以新臺幣、美元及人民幣計價發行。該基金應於核准後</span><span lang="EN-US"><font face="Calibri">6</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">個月內開始募集，</span><span lang="EN-US"><font face="Calibri">30</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">天內募集最低成立金額新臺幣</span><span lang="EN-US"><font face="Calibri">3</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">億元。</span><span lang="EN-US"><o:p></o:p></span></p><p class="MsoPlainText" style="margin: 0cm 0cm 0pt"><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">原則上，該基金自成立日起屆滿</span><span lang="EN-US"><font face="Calibri">6</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">個月後，投資於國內外股票</span><span lang="EN-US"><font face="Calibri">(</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">含承銷股票</span><span lang="EN-US"><font face="Calibri">)</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">及存託憑證之總額不得低於本基金淨資產價值之</span><span lang="EN-US"><font face="Calibri">70%(</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">含</span><span lang="EN-US"><font face="Calibri">)</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">，且投資於與銀髮商機相關產業之股票</span><span lang="EN-US"><font face="Calibri">(</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">含承銷股票</span><span lang="EN-US"><font face="Calibri">)</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">及存託憑證總額不得低於本基金淨資產價值之</span><span lang="EN-US"><font face="Calibri">60%(</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">含</span><span lang="EN-US"><font face="Calibri">)</font></span><span style="font-family: "新細明體","serif"; mso-ascii-font-family: Calibri; mso-hansi-font-family: "Courier New"">。所稱與銀髮商機相關產業之有價證券，係指受惠於人口老化及高齡化社會趨勢所帶來的商機，包括資產管理業、製藥醫療業、醫療設備業、休閒娛樂業、健康美容業、照護服務業、監控防護業、追求其退休生活完善及生活品質而衍生出來的消費商機之產業。<br /><br />伍、<a title="預告修正「國際證券業務分公司管理辦法」第九條之一草案(開啟新視窗)" href="http://www.sfb.gov.tw/ch/home.jsp?id=89&parentpath=0,3&mcustomize=lawnotice_view.jsp&dataserno=201605310001&contentid=89&toolsflag=Y">預告修正「國際證券業務分公司管理辦法」第九條之一草案</a></span></p> |
| 發布日期 | 2016/5/31 上午 12:00:00 |
| 資料來源 | 金融監督管理委員會 |