Standards Governing the Establishment of Futures Trust Enterprises Article 5
A person who falls in any of the categories in the following subparagraphs may not serve as a promoter, director, supervisor, managerial officer, department supervisor, or associated person of a futures trust enterprise. If already serving in such capacity, the person shall ipso facto be dismissed:1.Has previously, by a final and unappealable judgment, been convicted of a crime under the Organized Crime Prevention Act, and has not completed serving the sentence, or 5 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.2.Has previously, by a final and unappealable judgment, received a sentence of imprisonment for 1 year or more for a crime of fraud, breach of trust, or misappropriation, and has not completed serving the sentence, or 2 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.3.Has previously, by a final and unappealable judgment, received a sentence of fixed-term imprisonment or greater severity for a crime of misappropriation related to public function or occupation and has not completed serving the sentence, or 2 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.4.Has, by a final and unappealable judgment, been convicted of a crime under the Securities and Exchange Act or the Securities Investment Trust and Consulting Act, and has not completed serving the sentence, or 3 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.5.Has, by a final and unappealable judgment, received a criminal sentence of imprisonment or greater severity for accepting deposits, managing trust funds or public property, or handling domestic or foreign exchange/remittance business in violation of Article 29, paragraph 1, of the Banking Act and has not completed the sentence, or 3 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.6.Has, by a final and unappealable judgment, received a sentence of fixed-term imprisonment or greater severity for engaging in trust business in violation of Article 33 of the Trust Enterprise Act and has not completed serving the sentence, or 3 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.7.Has, by a final and unappealable judgment, been convicted of a crime under the Act, Company Act, Foreign Exchange Control Act, Insurance Act, Credit Cooperative Act, or Financial Holding Company Act, and has not completed serving the sentence, or 5 years have not yet elapsed since completion of the sentence, expiration of the probation period, or pardon.8.Has been adjudicated bankrupt and whose rights have not been reinstated, or has previously served as a director, supervisor, managerial officer, or in another equivalent position, of a juristic person at a time when it was adjudicated bankrupt, and either 3 years have not yet elapsed since the bankruptcy was concluded, or the terms of bankruptcy settlement have not been fulfilled.9.Has been blacklisted after dishonoring of a negotiable instrument, and remains blacklisted.10.Lacks legal capacity to act, has limited legal capacity to act, or has been declared by a court to be placed under assistance, where such declaration has not yet been voided.11.Has been sanctioned by dismissal from duties under Article 56, or subparagraph 2 of Article 66 of the Securities and Exchange Act, or sanctioned by dismissal from duties under subparagraph 2 of Article 103, or Article 104, of the Securities Investment Trust and Consulting Act, and 3 years have not yet elapsed since the sanction.12.Has previously served as a director or supervisor of a securities firm, securities investment trust enterprise, or securities investment consulting enterprise, and during the term of such position, the enterprise was sanctioned by suspension of business or voidance of its business permission under subparagraph 3 or 4 of Article 66 of the Securities and Exchange Act, or was sanctioned by suspension of business or revocation of its business permission under subparagraph 4 or 5 of Article 103 of the Securities Investment Trust and Consulting Act, and 1 year has not elapsed since the sanction.13.Has been subject to removal or dismissal from duties under Article 100, paragraph 1, subparagraph 2, or Article 101, paragraph 1 of the Act, and 5 years have not yet elapsed since the sanction.14.Has previously served as a director or supervisor of a futures commission merchant, managed futures enterprise, or futures advisory enterprise and, during the term in that capacity, the enterprise concerned was sanctioned by suspension of its business or voidance of its business permission under Article 100, paragraph 1, subparagraph 3 or 4 of the Act, and 1 year has not yet elapsed since the sanction.15.Has been discovered to have allowed the use of his/her/its name by another person using it to act as a promoter, director, supervisor, managerial officer, or associated person of a futures trust enterprise.16.Has been proven by factual evidence to have engaged in or been involved in any other activity that is in bad faith or improper, showing the person to be unsuited to engage in futures enterprise business.The term " department supervisor" in the preceding paragraph means a supervisor of any department engaged in any business specified in subparagraphs 1 to 5 of Article 4 of the Regulations Governing Futures Trust Enterprises or of a finance or accounting department.If a promoter, director, or supervisor is a juristic person, paragraph 1 shall apply mutatis mutandis to the performance of duties by the juristic person's representative or designated representative.
中文原文 期貨信託事業設置標準第5條
有下列各款情事之一者，不得充任期貨信託事業之發起人、董事、監察人、經理人、部門主管或業務員；其已充任者，當然解任：
一、曾犯組織犯罪防制條例規定之罪，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
二、曾犯詐欺、背信或侵占罪，經宣告有期徒刑一年以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
三、曾犯公務或業務侵占罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
四、違反證券交易法或證券投資信託及顧問法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
五、違反銀行法第二十九條第一項規定經營收受存款、受託經理信託資金、公眾財產或辦理國內外匯兌業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
六、違反信託業法第三十三條規定辦理信託業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
七、違反本法、公司法、管理外匯條例、保險法、信用合作社法或金融控股公司法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
八、受破產之宣告，尚未復權，或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調協未履行。
九、使用票據經拒絕往來，尚未恢復往來。
十、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
十一、受證券交易法第五十六條或第六十六條第二款解除職務處分，或受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處分，尚未逾三年。
十二、曾擔任證券商、證券投資信託事業或證券投資顧問事業之董事、監察人，而於任職期間，該事業受證券交易法第六十六條第三款或第四款停業或撤銷營業許可處分，或受證券投資信託及顧問法第一百零三條第四款或第五款停業或廢止營業許可處分，尚未逾一年。
十三、受本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處分，尚未逾五年。
十四、曾擔任期貨商、期貨經理事業或期貨顧問事業之董事、監察人，而於任職期間，該事業受本法第一百條第一項第三款或第四款停業或撤銷營業許可處分，尚未逾一年。
十五、經查明接受他人利用其名義充任期貨信託事業之發起人、董事、監察人、經理人或業務員。
十六、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合從事期貨業業務。
前項所稱部門主管，指從事期貨信託事業管理規則第四條第一款至第五款所定業務及財務會計部門之主管。
發起人、董事或監察人為法人者，其代表人或指定代表行使職務時，準用第一項規定。
一、曾犯組織犯罪防制條例規定之罪，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
二、曾犯詐欺、背信或侵占罪，經宣告有期徒刑一年以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
三、曾犯公務或業務侵占罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
四、違反證券交易法或證券投資信託及顧問法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
五、違反銀行法第二十九條第一項規定經營收受存款、受託經理信託資金、公眾財產或辦理國內外匯兌業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
六、違反信託業法第三十三條規定辦理信託業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
七、違反本法、公司法、管理外匯條例、保險法、信用合作社法或金融控股公司法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
八、受破產之宣告，尚未復權，或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調協未履行。
九、使用票據經拒絕往來，尚未恢復往來。
十、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
十一、受證券交易法第五十六條或第六十六條第二款解除職務處分，或受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處分，尚未逾三年。
十二、曾擔任證券商、證券投資信託事業或證券投資顧問事業之董事、監察人，而於任職期間，該事業受證券交易法第六十六條第三款或第四款停業或撤銷營業許可處分，或受證券投資信託及顧問法第一百零三條第四款或第五款停業或廢止營業許可處分，尚未逾一年。
十三、受本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處分，尚未逾五年。
十四、曾擔任期貨商、期貨經理事業或期貨顧問事業之董事、監察人，而於任職期間，該事業受本法第一百條第一項第三款或第四款停業或撤銷營業許可處分，尚未逾一年。
十五、經查明接受他人利用其名義充任期貨信託事業之發起人、董事、監察人、經理人或業務員。
十六、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合從事期貨業業務。
前項所稱部門主管，指從事期貨信託事業管理規則第四條第一款至第五款所定業務及財務會計部門之主管。
發起人、董事或監察人為法人者，其代表人或指定代表行使職務時，準用第一項規定。