眾律國際法律事務所

眾律國際法律事務所 法務助理蔡佩均

2016-01-19

• 金融控股公司法

第57條

金融控股公司之負責人或職員，意圖為自己或第三人不法之利益，或損害金融控股公司之利益，而為違背其職務之行為，致生損害於公司財產或其他利益者，處三年以上十年以下有期徒刑，得併科新臺幣一千萬元以上二億元以下罰金。其犯罪所得達新臺幣一億元以上者，處七年以上有期徒刑，得併科新臺幣二千五百萬元以上五億元以下罰金。

金融控股公司負責人或職員，二人以上共同實施前項犯罪行為者，得加重其刑至二分之一。

第一項之未遂犯罰之。

A responsible person or staff member of a Financial Holding Company who violates his/her duty with the intent to gain illegal benefit for himself/herself or a third party and damages the Financial Holding Company's assets or other interests shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000). Those who thereby obtain criminal income of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for more than seven (7) years, and may also be fined a criminal fine of not less than Twenty Five Million New Taiwan Dollars (NT$25,000,000) and not more than Five Hundred Million New Taiwan Dollars (NT$500,000,000). 

When two or more responsible persons or staff members of a Financial Holding Company jointly commit the offenses prescribed in the preceding paragraph, their punishment may be increased by up to one-half of the specified punishment.

Attempts to commit the acts described in the preceding two paragraphs shall be punishable. 

第57-1條

意圖為自己或第三人不法之所有，以詐術使金融控股公司將金融控股公司或第三人之財物交付，或以不正方法將虛偽資料或不正指令輸入金融控股公司電腦或其相關設備，製作財產權之得喪、變更紀錄而取得他人財產，其犯罪所得達新臺幣一億元以上者，處三年以上十年以下有期徒刑，得併科新臺幣一千萬元以上二億元以下罰金。

以前項方法得財產上不法之利益或使第三人得之者，亦同。

前二項之未遂犯罰之。

When persons use fraudulent methods to cause the Financial Holding Company to make payment using the assets of the Financial Holding Company or a third party, or use illicit methods to enter fictitious data or illicit commands into the Financial Holding Company computer or relevant equipment, with the intent to gain illegal benefit for themselves or a third party, and thereby cause asset loss or gain or entitlement changes to others through the alteration of records, those who thereby obtain criminal income of One Hundred Million New Taiwan Dollars (NT$100,000,000) or more shall be punished by imprisonment for not less than three (3) years and not more than ten (10) years, and may also be fined a criminal fine of not less than Ten Million New Taiwan Dollars (NT$10,000,000) and not more than Two Hundred Million New Taiwan Dollars (NT$200,000,000).

Those who use methods described in the foregoing paragraph to obtain the illegal benefit of assets or cause a third party to do so shall likewise be subject to the specified punishments. 

Attempts to commit the acts described in the preceding two paragraphs shall be punishable. 

第57-2條

犯第五十七條或第五十七條之一之罪，於犯罪後自首，如有犯罪所得並自動繳交全部所得財物者，減輕或免除其刑；並因而查獲其他正犯或共犯者，免除其刑。

犯第五十七條或第五十七條之一之罪，在偵查中自白，如有犯罪所得並自動繳交全部所得財物者，減輕其刑；並因而查獲其他正犯或共犯者，減輕其刑至二分之一。

犯第五十七條、第五十七條之一之罪，其犯罪所得利益超過罰金最高額時，得於所得利益之範圍內加重罰金；如損及金融市場穩定者，加重其刑至二分之一。

 For those who have turned themselves in after committing crimes stipulated in Article 57 or Article 57-1, if there are gains from such crimes and they have delivered all gains out at their free will, their sentences can be reduced or exempted. If their acts of confession have led to the capture of other principal criminals or accomplices, their sentences shall be exempted. 

For those who have comitted crimes stipulated in Article 57 or Article 57-1 and confessed during investigation, if there are gains from such crimes and they have delivered all gains out at their free will, their sentences shall be reduced. If their acts of confession have led to the capture of other principal criminals or accomplices, their sentences shall be reduced by one-half. 

For those who have committed crimes stipulated in Article 57 or Article 57-1, if their gains from such crimes is exceeded the highest level of fines, more fines can be added within the range of their illegal gains. Should their criminal acts have jeopardized the stability of the financial market, their sentences shall be increased by one-half. 

第59條

金融控股公司之負責人或職員違反第十七條第四項規定，收受佣金、酬金或其他不當利益者，處三年以下有期徒刑、拘役或科或併科新臺幣五百萬元以下罰金。

The responsible person or employee of a financial holding company who violates Paragraph 4 of Article 17 herein by accepting commissions, rebates or other unwarranted benefits shall be punishable by imprisonment for not more than three (3) years, detention, and/or a fine of not more than Five Million New Taiwan Dollars (NT$5,000,000). 

第65條

法人之負責人、代理人、受僱人或其他職員，因執行業務違反本法規定，除依本章規定處罰該行為人外，對於該法人亦科以該條之罰鍰或罰金。

If the responsible person(s), agent(s), employee(s) or staff member(s) of a legal entity commits any punishable act under this Act, in addition that punishment being imposed on the person(s) responsible for the violation in accordance with this Chapter, the legal entity shall also be punished by the administrative fine or criminal fine described in the relevant Article.