Regulations Governing Futures Trust Enterprises Article 39
Except as otherwise provided by law or regulation, a futures trust enterprise shall satisfy each of the following conditions if it intends to apply to invest in a foreign futures enterprise:1. It has been in operation for at least a full 2 years.2. It has not been sanctioned under Article 100, paragraph 1, subparagraph 1 of 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 preceding three months.3. It 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 preceding six months.4. It 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 preceding year.5. It 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 preceding 2 years.6. It has net worth per share of not less than par value, as shown in the latest CPA-audited and attested financial report.7. The total amount of any and all investment by it in foreign futures enterprises may not exceed 10% of its net worth. This restriction shall not apply, however, where there is a particular need and special approval has been granted.If a futures trust enterprise does not conform to a provision or provisions in subparagraphs 2 to 5 of the preceding paragraph but has specifically corrected the violation, and the correction has been recognized by the competent authority, then it is exempted from the relevant provision or provisions of those subparagraphs.The futures trust enterprise may invest in a foreign futures enterprise only within those lines of business in which the futures trust enterprise operates.
中文原文 期貨信託事業管理規則第39條
期貨信託事業申請投資外國期貨事業，除法令另有規定者外，應符合下列各款規定：
一、營業滿二年。
二、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規定之處分。
三、最近半年未曾受本法第一百條第一項第二款、證券投資信託及顧問法第一百零三條第二款、第三款或證券交易法第六十六條第二款規定之處分。
四、最近一年未曾受本法第一百條第一項第三款、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規定之處分。
五、最近二年未曾受本法第一百條第一項第四款、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規定之處分。
六、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。
七、投資外國期貨事業之總金額，不得超過期貨信託事業淨值百分之十。
但有特殊需要經專案核准者，不在此限。
期貨信託事業不符合前項第二款至第五款規定，其違法情事已具體改善並經主管機關認可者，不適用各該款規定。
期貨信託事業投資外國期貨事業，應以該期貨信託事業所營業務為限。
一、營業滿二年。
二、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規定之處分。
三、最近半年未曾受本法第一百條第一項第二款、證券投資信託及顧問法第一百零三條第二款、第三款或證券交易法第六十六條第二款規定之處分。
四、最近一年未曾受本法第一百條第一項第三款、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規定之處分。
五、最近二年未曾受本法第一百條第一項第四款、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規定之處分。
六、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。
七、投資外國期貨事業之總金額，不得超過期貨信託事業淨值百分之十。
但有特殊需要經專案核准者，不在此限。
期貨信託事業不符合前項第二款至第五款規定，其違法情事已具體改善並經主管機關認可者，不適用各該款規定。
期貨信託事業投資外國期貨事業，應以該期貨信託事業所營業務為限。