| Summary: | 碩士 === 國立中正大學 === 會計資訊與法律數位學習碩士在職專班 === 104 === In August 2011, fundamental default and lots of customer complaints occurred in the futures market, therefore, the supervisory organization commanded the futures association and futures companies to co-study the regulations about management mechanism to control futures trading risk. However, after nearly two years, a new version of management mechanism of futures trading risk was launched and implemented in July 2013. Nevertheless, many large value over-losses, default and customer complaints still occurred in the futures market. Therefore, in this study, we adopt expert’s questionnaire and interview method. This study try to investigate the implementation effectiveness about the 2013 risk management regulation. Furthermore, the study analyze whethrer internal control operation procedure related to the present futures trading and risk management or not. Is there any difficulty to implement the requlation in the practical facet? Is there any trouble derived between the futures company and the customer?
The result of this study is that further trading potential risks relate to operation standard aspects, personnel management aspects and transaction personprotection aspects of the risk management mechanism. Finally, this study provides some suggestions and hope that customer complaints can be reduced, and fundamental default can be prevented. In addition, these suggestions can also be helpful in reducing the operation risk of the futures companies and in promoting the stable development of futures market.
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