Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants Article 7-3
An FCM director, supervisor, or related party thereof, who acts concurrently as a director or supervisor of any other financial institution as set forth in Article 7-1, paragraph 1 will be presumed to have a conflict of interest unless the FCM and that financial institution have a controlling and subordinate relation as defined in the Company Act or such concurrent appointment is allowed under these Regulations.The term "director" or "supervisor" as used in the preceding paragraph means those within the following scope:1. A juristic person or a natural person appointed by that juristic person to exercise the duties.2. A juristic person or an elected natural person representative who represents a juristic person.3. An elected natural person who is neither appointed by nor a representative of the government or a juristic person.The term "related party" of a director or supervisor as used in paragraph 1 means parties related to the same natural person or the same juristic person, within the following scope:1. Parties related to the same natural person:A. The spouse and lineal relatives of that natural person.B. Any enterprise in which that natural person and natural persons referred to in the preceding item hold in aggregate more than one-third of the outstanding voting shares or capital, or any enterprise or foundation in which that natural person and natural persons referred to in the preceding item serve as the chairman or general manager or in a majority of the director positions.2. Parties related to the same juristic person:A. The chairman of that juristic person and his or her spouse and lineal relatives.B. Any enterprise in which that juristic person and natural persons referred to in the preceding item hold more than one-third of the outstanding voting shares or capital, or any enterprise or foundations in which that juristic person and natural persons referred to in the preceding subparagraph serve as the chairman or general manager or in a majority of the director positions.C. Affiliates of that juristic person. The term "affiliate" shall be as defined under Articles 369-1 to 369-3, Article 369-9, and Article 369-11 of the Company Act.The preceding three paragraphs shall not apply to the government or to an FCM in which the government directly and/or indirectly holds 100 percent of the shares. However, the natural person appointee(s) or representative(s) of the government or FCM designated to serve in the director or supervisor capacity shall not concurrently serve in any position in another financial institution unless with the approval of the FSC.If an FCM director, supervisor, or related person thereof, has a conflict of interest set out in paragraph 1 or the preceding paragraph, the FSC may order the FCM to make adjustments within a prescribed period of time; the person shall be dismissed if the FCM fails to adjust within the time period and without justifiable reason.Those who were already serving as a director or supervisor of an FCM prior to the enforcement of the 28 October 2022 amendment to this article may continue to serve for the duration of their original term, without being subject to the restrictions in the preceding five paragraphs.
中文原文 期貨商負責人及業務員管理規則第7-3條
期貨商董事、監察人本人或其關係人同時擔任第七條之一第一項所列其他金融機構之董事、監察人，推定有利益衝突之情事。
但期貨商與其他金融機構屬公司法所稱控制與從屬關係者，或依本規則規定兼任者，不在此限。
前項所稱董事、監察人本人，範圍如下：
一、法人及其指定行使職務之自然人。
二、法人及代表法人當選之自然人代表人。
三、非以政府、法人或其代表人當選之自然人。
第一項所稱董事、監察人本人之關係人，指同一自然人或同一法人之關係人，其範圍如下：
一、同一自然人之關係人：
（一）該自然人之配偶及直系血親。
（二）該自然人與前目之人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、同一法人之關係人：
（一）該法人之董事長、其配偶及直系血親。
（二）該法人與前目之自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（三）該法人之關係企業。
關係企業適用公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定。
政府及其直接、間接持有百分之百股份之期貨商，不適用前三項規定。
但其所指派之法人董事、監察人代表或代表人，除經本會核准外，不得兼任其他金融機構任何職務。
期貨商董事、監察人本人或其關係人，有第一項或前項利益衝突情事時，本會得限期命其調整；無正當理由屆期未調整者，應予解任。
本條中華民國一百十一年十月二十八日修正施行前，已擔任期貨商董事或監察人者，得於原任期內續任之，不受前五項規定之限制。
但期貨商與其他金融機構屬公司法所稱控制與從屬關係者，或依本規則規定兼任者，不在此限。
前項所稱董事、監察人本人，範圍如下：
一、法人及其指定行使職務之自然人。
二、法人及代表法人當選之自然人代表人。
三、非以政府、法人或其代表人當選之自然人。
第一項所稱董事、監察人本人之關係人，指同一自然人或同一法人之關係人，其範圍如下：
一、同一自然人之關係人：
（一）該自然人之配偶及直系血親。
（二）該自然人與前目之人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、同一法人之關係人：
（一）該法人之董事長、其配偶及直系血親。
（二）該法人與前目之自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（三）該法人之關係企業。
關係企業適用公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定。
政府及其直接、間接持有百分之百股份之期貨商，不適用前三項規定。
但其所指派之法人董事、監察人代表或代表人，除經本會核准外，不得兼任其他金融機構任何職務。
期貨商董事、監察人本人或其關係人，有第一項或前項利益衝突情事時，本會得限期命其調整；無正當理由屆期未調整者，應予解任。
本條中華民國一百十一年十月二十八日修正施行前，已擔任期貨商董事或監察人者，得於原任期內續任之，不受前五項規定之限制。