Standards Governing the Establishment of Futures Trust Enterprises Article 41
A futures trust enterprise that meets the following qualifications may apply to establish a branch unit(s) to conduct the business of offering and selling beneficial certificates of futures trust funds:1.Has been in operation for at least a full year. This restriction does not apply, however, to the establishment of a branch unit as a result of merger or transfer.2.The CPA-audited and attested financial report for the most recent period shows a net worth per share not lower than par value.3.Has not been sanctioned under Article 100, paragraph 1, subparagraph 1of the Act, Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 1 of the Securities and Exchange Act during the last 3 months.4.Has not been sanctioned under Article 100, paragraph 1, subparagraph 2 of the Act, Article 103, subparagraph 2 or 3 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 2 of the Securities and Exchange Act during the last half year.5.Has not been sanctioned under Article 100, paragraph 1, subparagraph 3 of the Act, Article 103, subparagraph 4 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 3 of the Securities and Exchange Act during the last one year.6.Has not been sanctioned under Article 100, paragraph 1, subparagraph 4 of the Act, Article 103, subparagraph 5 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 4 of the Securities and Exchange Act during the last 2 years.A futures trust enterprise that is not compliant with a provision or provisions of subparagraph 3 to 6 of the preceding paragraph may be exempted from restriction under those 4 subparagraphs if it has made substantive corrections, and the corrections have been recognized by the competent authority.
中文原文 期貨信託事業設置標準第41條
期貨信託事業具備下列條件者，得申請設置分支機構辦理期貨信託基金受益憑證之募集及銷售業務：
一、營業滿一年。
但因合併或受讓而設置分支機構，不在此限。
二、最近期經會計師查核簽證之財務報告，每股淨值不低於面額。
三、最近三個月未曾受本法第一百條第一項第一款、證券投資信託及顧問法第一百零三條第一款、或證券交易法第六十六條第一款之處分。
四、最近半年未曾受本法第一百條第ㄧ項第二款、證券投資信託及顧問法第一百零三條第二款及第三款、或證券交易法第六十六條第二款之處分。
五、最近一年未曾受本法第一百條第ㄧ項第三款、證券投資信託及顧問法第一百零三條第四款、或證券交易法第六十六條第三款之處分。
六、最近二年未曾受本法第一百條第ㄧ項第四款、證券投資信託及顧問法第一百零三條第五款、或證券交易法第六十六條第四款之處分。
期貨信託事業不符前項第三款至第六款規定之條件，但其情事已具體改善，並經主管機關認可者，得不受該四款之限制。
一、營業滿一年。
但因合併或受讓而設置分支機構，不在此限。
二、最近期經會計師查核簽證之財務報告，每股淨值不低於面額。
三、最近三個月未曾受本法第一百條第一項第一款、證券投資信託及顧問法第一百零三條第一款、或證券交易法第六十六條第一款之處分。
四、最近半年未曾受本法第一百條第ㄧ項第二款、證券投資信託及顧問法第一百零三條第二款及第三款、或證券交易法第六十六條第二款之處分。
五、最近一年未曾受本法第一百條第ㄧ項第三款、證券投資信託及顧問法第一百零三條第四款、或證券交易法第六十六條第三款之處分。
六、最近二年未曾受本法第一百條第ㄧ項第四款、證券投資信託及顧問法第一百零三條第五款、或證券交易法第六十六條第四款之處分。
期貨信託事業不符前項第三款至第六款規定之條件，但其情事已具體改善，並經主管機關認可者，得不受該四款之限制。