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《證交所》券商下單買賣,電話錄音須存1年
Jul 7th 2014, 07:57

《證交所》券商下單買賣,電話錄音須存1年
2014/07/07 15:57時報資訊

【時報-台北電】證交所提醒投資人,若於買賣交易發現爭議時,可依據證交所營業細則第80條規定:「電話錄音紀錄,證券商應至少保存1年。但買賣委託有爭議者,應保存至該爭議消除為止」,要求證券商保存相關交易電話紀錄,以確保自身權益。

證交所券商輔導部最近接獲投資人申訴,經派員前往證券商查核,除請證券公司保留電話錄音紀錄至爭議消除為止外,並經訪談營業員表示,客戶是因買賣股票發生虧損,導致本次交易紛爭。

證交所於調閱相關委託電話紀錄後,發現營業員於接受陳情客戶下單時,有以俗稱「市價」方式接受客戶電話委託買賣情事,此部分營業員與證券公司則已違反「證券經紀商接受委託買賣應以限價為之」的規定。(新聞來源:工商即時 呂淑美)

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