Regulations Governing Futures Trust Enterprises Article 50
The chairperson of a futures trust enterprise may not concurrently serve as the general manager. This restriction, however, does not apply if any of the following circumstances exists and if approval is obtained from the competent authority:1. The futures trust enterprise will cease to exist as a result of a merger or dissolution, and its chairperson or general manager has resigned, been removed from office, or otherwise been unable to continue the performance of duties.2. The futures trust enterprise's business permission was voided by the competent authority, and its chairperson or general manager has resigned, been removed from office, or otherwise been unable to continue the performance of duties.3. For any other special cause.The general manager of a futures trust enterprise may not concurrently serve as a branch unit manager, fund manager, securities investment trust fund manager, discretionary futures trading business trading decision maker, or discretionary securities investment manager, of the futures trust enterprise.No internal auditor or risk management personnel of a futures trust enterprise may engage in any operation for which the person is not registered, nor may any of their functions be performed by any other associated person on a concurrent basis. Notwithstanding the foregoing, in the case of an enterprise in another line of business that concurrently operates a futures trust enterprise, its internal auditors and risk management personnel registered as such may perform functions of the same nature for the futures trust enterprise provided that they possesses the qualifications required by Article 47.The functions of the legal compliance personnel of a futures trust enterprise may not be concurrently performed by any person carrying on any of the business activities under Article 4, subparagraphs 1 to 5, 7 and 9. Notwithstanding the foregoing, in the case of an enterprise in another line of business that concurrently operates a futures trust enterprise, its registered legal compliance personnel may concurrently serve as legal compliance personnel for the futures trust enterprise.An associated person who performs the function of research and analysis, or fund manager, of a futures trust enterprise may not concurrently serve as an associated person whose duty is to execute trades or investment.Except as otherwise prescribed by the competent authority, the fund manger of a futures trust fund offered to unspecified persons pursuant to Article 2, subparagraph 1 may not concurrently serve as a fund manager, securities investment trust fund manager, trading decision maker for discretionary futures trading, or discretionary securities investment manager.A department head of a futures trust enterprise concurrently operated by a trust enterprise may not concurrently serve as a branch unit manager, fund manager, securities investment trust fund manager, discretionary futures trading business trading decision maker, or discretionary securities investment manager, of the company.In the case of a trust enterprise that concurrently operates a futures trust enterprise, none of its fund managers may concurrently perform a function empowered to make decisions for investing or trading for any mutual trust funds or with its proprietary funds.
中文原文 期貨信託事業管理規則第50條
期貨信託事業之董事長不得兼任總經理。
但有下列情形之一，經主管機關核准者，不在此限：
一、期貨信託事業將因合併或解散而消滅，且其董事長或總經理有辭職、解任或其他無法繼續執行職務之情形。
二、期貨信託事業經主管機關撤銷營業許可，且其董事長或總經理有辭職、解任或其他無法繼續執行職務之情形。
三、其他特殊事由。
期貨信託事業之總經理不得兼任該公司之分支機構經理人、基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
期貨信託事業之內部稽核及風險管理人員，不得辦理登記範圍以外之業務或由其他業務員兼任。
但他業兼營期貨信託事業之內部稽核及風險管理人員，如具第四十七條所定資格，得由他業登記之內部稽核及風險管理人員兼任相同性質之職務。
期貨信託事業之法令遵循人員不得由從事第四條第一款至第五款、第七款及第九款業務之人員兼任。
但他業兼營期貨信託事業之法令遵循人員得由他業登記之法令遵循人員兼任。
期貨信託事業辦理研究分析之業務員、基金經理人不得兼任執行交易及投資之業務員。
依第二條第一款向不特定人募集期貨信託基金之基金經理人，除主管機關另有規定外，不得兼任基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
信託業辦理兼營期貨信託事業之部門主管，不得兼任該公司之分支機構經理人、基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
信託業兼營期貨信託事業，基金經理人不得兼任共同信託基金業務、自有資金之投資或交易決策人員。
但有下列情形之一，經主管機關核准者，不在此限：
一、期貨信託事業將因合併或解散而消滅，且其董事長或總經理有辭職、解任或其他無法繼續執行職務之情形。
二、期貨信託事業經主管機關撤銷營業許可，且其董事長或總經理有辭職、解任或其他無法繼續執行職務之情形。
三、其他特殊事由。
期貨信託事業之總經理不得兼任該公司之分支機構經理人、基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
期貨信託事業之內部稽核及風險管理人員，不得辦理登記範圍以外之業務或由其他業務員兼任。
但他業兼營期貨信託事業之內部稽核及風險管理人員，如具第四十七條所定資格，得由他業登記之內部稽核及風險管理人員兼任相同性質之職務。
期貨信託事業之法令遵循人員不得由從事第四條第一款至第五款、第七款及第九款業務之人員兼任。
但他業兼營期貨信託事業之法令遵循人員得由他業登記之法令遵循人員兼任。
期貨信託事業辦理研究分析之業務員、基金經理人不得兼任執行交易及投資之業務員。
依第二條第一款向不特定人募集期貨信託基金之基金經理人，除主管機關另有規定外，不得兼任基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
信託業辦理兼營期貨信託事業之部門主管，不得兼任該公司之分支機構經理人、基金經理人、證券投資信託基金經理人、全權委託期貨交易業務之交易決定人員或證券全權委託投資經理人。
信託業兼營期貨信託事業，基金經理人不得兼任共同信託基金業務、自有資金之投資或交易決策人員。