Regulations Governing Futures Trust Funds Article 25
A futures trust fund distributor shall meet the following requirements for eligibility:1.A net worth per share no lower than par value in the CPA-audited and attested financial report for the preceding period. This requirement does not apply, however, to futures trust fund distributors who have had their business licenses for less than one full accounting year.2.Having received no disciplinary sanction pursuant to Article 100, subparagraphs 2 through 5 of the FTA, Article 103, subparagraphs 2 through 6 of the Securities Investment Trust and Consulting Act, Article 66, subparagraphs 2 through 5 of the Securities and Exchange Act, Article 44, subparagraphs 1 through 4 of the Trust Enterprise Act, Article 61-1, paragraph 1, subparagraphs 1 through 9 of the Banking Act, or Article 149, paragraph 1, subparagraphs 1 through 7 and paragraph 3 of the Insurance Act within the preceding two years as a result of engaging in futures trust fund, offshore fund, or securities investment trust fund business. This requirement does not apply to dispositions of the competent authority ordering the dismissal of personnel or when there has been substantive improvement, recognized by the competent authority, with regard to the matters in which the distributor was in violation.3.Not being currently subject to a period of prohibition by order of the competent authority in which it may not serve as a fund distributor for futures trust enterprises due to its violation of these Regulations or the self-regulatory rules of the Futures Association.4.Sufficient associated persons to carry out futures trust fund sales business and to comply with the provisions of Article 48 of the Regulations Governing Futures Trust Enterprises.5.The necessary information transmission facilities for executing futures trust fund sales business.6.Other qualification prescribed by the competent authority.
中文原文 期貨信託基金管理辦法第25條
期貨信託基金銷售機構應符合下列資格條件：
一、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。
但取得營業執照未滿一個完整會計年度者，不在此限。
二、最近二年未曾因辦理期貨信託基金、境外基金或證券投資信託基金業務受本法第一百條第二款至第五款規定、證券投資信託及顧問法第一百零三條第二款至第六款規定、證券交易法第六十六條第二款至第五款規定、信託業法第四十四條第一款至第四款規定、銀行法第六十一條之一第一項第一款至第九款規定或保險法第一百四十九條第一項第一款至第七款及第三項規定之處分。
但主管機關命令解除職員職務之處分或其違法情事已具體改善並經主管機關認可者，不在此限。
三、未因違反本辦法規定或同業公會訂定之自律規範，而經主管機關要求期貨信託事業不得委任擔任銷售機構之期限尚未屆滿。
四、辦理期貨信託基金銷售業務應有適足之業務員，並應符合期貨信託事業管理規則第四十八條規定。
五、具備執行期貨信託基金銷售業務之必要資訊傳輸設備。
六、其他經主管機關規定應具備之條件。
一、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。
但取得營業執照未滿一個完整會計年度者，不在此限。
二、最近二年未曾因辦理期貨信託基金、境外基金或證券投資信託基金業務受本法第一百條第二款至第五款規定、證券投資信託及顧問法第一百零三條第二款至第六款規定、證券交易法第六十六條第二款至第五款規定、信託業法第四十四條第一款至第四款規定、銀行法第六十一條之一第一項第一款至第九款規定或保險法第一百四十九條第一項第一款至第七款及第三項規定之處分。
但主管機關命令解除職員職務之處分或其違法情事已具體改善並經主管機關認可者，不在此限。
三、未因違反本辦法規定或同業公會訂定之自律規範，而經主管機關要求期貨信託事業不得委任擔任銷售機構之期限尚未屆滿。
四、辦理期貨信託基金銷售業務應有適足之業務員，並應符合期貨信託事業管理規則第四十八條規定。
五、具備執行期貨信託基金銷售業務之必要資訊傳輸設備。
六、其他經主管機關規定應具備之條件。