Regulations Governing the Administration of Credit Rating Agencies Article 6
No person to whom any of the following items applies shall serve as a promoter, director, supervisor, or managerial officer of a credit rating agency; those appointed and currently serving in any of these capacities shall be discharged by the FSC pursuant to the provisions of Article 18-1, paragraph 2 of the Act, whereby the provisions of Article 53 of the Act shall apply mutatis mutandis; the FSC shall also make written request to the Ministry of Economic Affairs to rescind the registration of such persons as director, supervisor, or managerial officer:1.Any of the circumstances listed in Article 30 of the Company Law.2.The person served as the director, supervisor, managerial officer or any other equivalent positions of a juristic person when such juristic person was adjudicated bankrupt, and a period of three years has not yet elapsed since the bankruptcy was concluded or a settlement has not yet been fulfilled.3.The person's account with a financial institution has been dishonored or the person has had a record of bad credit standing during the preceding three years.4.The person was discharged from functional duties pursuant to the provisions of Article 56 or Article 66, paragraph 2 of the Securities and Exchange Act or Article 103, paragraph 2 or Article 104 of the Securities Trust and Consulting Act, and a period of three (3) years has not yet elapsed since the discharge.5.The person has been replaced or discharged from functional duties pursuant to the provisions of Article 100, paragraph 1, subparagraph 2 or Article 101, subparagraph 1 of the Futures Trading Act, where a period of five (5) years has not yet elapsed since the discharge.6.The person has received a final and unappealable sentence for violation of the Securities and Exchange Act, the Banking Act, the Financial Holding Company Act, the Trust Enterprise Act, the Act Governing Bills Finance Business, the Financial Asset Securitization Act, the Real Estate Securitization Act, the Insurance Act, the Futures Trading Act, the Securities Investment Trust and Consulting Act, the Statute for Regulation of Foreign Exchange, the Credit Cooperative Act, the Agricultural Finance Act, the Farmers' Association Act, the Fishermen's Association Act, the Money Laundering Control Act, the Certified Public Accountant Act, the Business Accounting Act, or any other financial regulatory act, and the sentence has not yet been completed, or five years have not yet elapsed since the completion of the sentence, expiry of probation, or granting of pardon.7.The person has been provably engaged or involved in other dishonest or improper acts that are sufficient to show such person unqualified for the rating business.If the promoter, director, or supervisor is a juristic person, the above provisions shall apply mutatis mutandis to the responsible person or authorized representative of that juristic person.
中文原文 信用評等事業管理規則第6條
下列各款情事之一者，不得充任信用評等事業之發起人、董事、監察人或經理人；其已充任者，由本會依本法第十八條之一第二項準用第五十三條規定解任之，並由本會函請經濟部撤銷其董事、監察人或經理人登記：
一、有公司法第三十條各款情事之一。
二、曾任法人宣告破產時之董事、監察人、經理人或與其地位相等之人，其破產終結尚未逾三年或協調未履行。
三、最近三年內在金融機構使用票據有拒絕往來或喪失債信紀錄。
四、受本法第五十六條、第六十六條第二款、證券投資信託及顧問法第一百零三條第二款或第一百零四條解除職務之處分，尚未逾三年。
五、受期貨交易法第一百條第一項第二款或第一百零一條第一項撤換或解除職務之處分，尚未逾五年。
六、違反本法、銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、保險法、期貨交易法、證券投資信託及顧問法、管理外匯條例、信用合作社法、農業金融法、農會法、漁會法、洗錢防制法、會計師法、商業會計法或其他金融管理法，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
七、有事實證明曾經從事或涉及其他不誠信或不正當活動，足以顯示其不適合從事信用評等業務。
發起人、董事或監察人為法人者，前項規定，於該法人代表人或指定代表行使職務者，準用之。
一、有公司法第三十條各款情事之一。
二、曾任法人宣告破產時之董事、監察人、經理人或與其地位相等之人，其破產終結尚未逾三年或協調未履行。
三、最近三年內在金融機構使用票據有拒絕往來或喪失債信紀錄。
四、受本法第五十六條、第六十六條第二款、證券投資信託及顧問法第一百零三條第二款或第一百零四條解除職務之處分，尚未逾三年。
五、受期貨交易法第一百條第一項第二款或第一百零一條第一項撤換或解除職務之處分，尚未逾五年。
六、違反本法、銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、保險法、期貨交易法、證券投資信託及顧問法、管理外匯條例、信用合作社法、農業金融法、農會法、漁會法、洗錢防制法、會計師法、商業會計法或其他金融管理法，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
七、有事實證明曾經從事或涉及其他不誠信或不正當活動，足以顯示其不適合從事信用評等業務。
發起人、董事或監察人為法人者，前項規定，於該法人代表人或指定代表行使職務者，準用之。