Regulations Governing the Administration of Credit Rating Agencies Article 10-1
The FSC may deny permission if any of the following circumstances exists with respect to an application for establishment of a credit rating agency or issuance of a business license:1.Any of the circumstances of Article 6 exists with respect to any of the promoters, directors, supervisors or managerial officers.2.Any of the circumstances specified in the subparagraphs of Article 54, paragraph 1 of the Act exists with respect to any associated person.3.The application documents are found to contain any falsehood or misrepresentation.4.Any of the business plan, company bylaws, or internal control system is not concrete enough, or cannot be effectively implemented.5.There is a likelihood that the professional competence of any responsible person or associated person is insufficient for sound and effective operation of credit rating business.6.It is otherwise deemed necessary to protect the public interest.If any application documents submitted under these Regulations are incomplete or contain incomplete information, and the FSC imposes a deadline for supplementation or correction and the deadline is not met, the application will be rejected.
中文原文 信用評等事業管理規則第10-1條
設立信用評等事業或核發營業執照之申請案件有下列情形之一者，本會得不予許可：
一、發起人、董事、監察人或經理人有第六條規定情事。
二、業務人員有本法第五十四條第一項各款規定情事。
三、申請書件內容或事項經發現有虛偽不實之情事。
四、營業計畫書、業務章則或內部控制制度內容欠具體或無法有效執行。
五、負責人或業務人員之專業能力有無法健全有效經營信用評等事業之虞。
六、其他為保護公益，認有必要。
依本規則提出之申請書件不完備或記載事項不充分，經本會限期補正，逾期不能完成補正者，退回其申請案件。
一、發起人、董事、監察人或經理人有第六條規定情事。
二、業務人員有本法第五十四條第一項各款規定情事。
三、申請書件內容或事項經發現有虛偽不實之情事。
四、營業計畫書、業務章則或內部控制制度內容欠具體或無法有效執行。
五、負責人或業務人員之專業能力有無法健全有效經營信用評等事業之虞。
六、其他為保護公益，認有必要。
依本規則提出之申請書件不完備或記載事項不充分，經本會限期補正，逾期不能完成補正者，退回其申請案件。