Standards Governing the Establishment of Futures Commission Merchants Article 13
When applying for the approval of its establishment, a futures commission merchant may also apply at the same time for the establishment of branch offices.After commencement of business, a futures commission merchant may apply for the establishment of branch offices provided that the following requirements are satisfied:1. The financial report for the most recent period, audited and attested by a certified public accountant, satisfies the requirements of Article 17 of the Regulations Governing Futures Commission Merchants and does not fall within any of the categories specified in Article 22 of the same Regulations; provided, however, that this provision shall not apply where the additional branch offices are being established as the result of a merger with or acquisition of the whole or the main portion of the business or assets of another futures commission merchant.2. In the last 3 months, the futures commission merchant has not received an FSC warning as set forth under Article 100, paragraph 1, subparagraph 1 of the Act; provided, however, that this provision shall not apply where the additional branch offices are being established as the result of a merger with or acquisition of the whole or the main portion of the business or assets of another futures commission merchant.3. In the last 6 months, the futures commission merchant has not been ordered by the FSC to replace its responsible person or other related persons in accordance with the provisions of Article 100, paragraph 1, subparagraph 2 of the Act, or been ordered to discharge its responsible person in accordance with Article 101, paragraph 1 of the Act.4. In the last year, the futures commission merchant has not been ordered by the FSC to suspend its business operations in whole or in part pursuant to Article 100, paragraph 1, subparagraph 3 of the Act.5. In the last 2 years, the futures commission merchant has not had any of its business licenses revoked by the FSC in accordance with Article 100, paragraph 1, subparagraph 4 of the Act.6. In the last year, the futures commission merchant has not had its trading rights terminated or restricted by the futures exchange or futures clearing house pursuant to its bylaws.7. In the last year, the futures commission merchant has not violated any local futures acts or regulations which are effective in the area where it handles brokerage trading and hence been punished by the local competent authority.If a futures commission merchant fails to meet any of the requirements set forth in subparagraphs 2 to 6 of the preceding paragraph, but has shown concrete improvement in the circumstances, and the FSC has recognized the improvement, the futures commission merchant may be exempted from the relevant requirement.
中文原文 期貨商設置標準第13條
期貨商於申請設置許可時，得同時申請設置分支機構。
期貨商開始營業後，符合下列各款規定者，得申請設置分支機構：
一、最近期經會計師查核簽證之財務報告，符合期貨商管理規則第十七條且無同規則第二十二條所定之情事者。
但因合併或受讓其他期貨商之全部或主要部分營業或財產，而增設分支機構者，不在此限。
二、最近三個月未曾受本會依本法第一百條第一項第一款所為之警告處分者。
但因合併或受讓其他期貨商之全部或主要部分營業或財產，而增設分支機構者，不在此限。
三、最近半年未曾受本會依本法第一百條第一項第二款撤換其負責人或其他有關人員之處分，或依本法第一百零一條第一項所為命令解除其負責人職務處分者。
四、最近一年未曾受本會依本法第一百條第一項第三款所為全部或一部之停業處分者。
五、最近二年未曾受本會依本法第一百條第一項第四款所為撤銷部分營業許可之處分者。
六、最近一年未經期貨交易所或期貨結算機構依其章則所為停止或限制買賣者。
七、最近一年無違反受託交易地區之當地期貨法令並受當地主管機關處分者。
期貨商不符前項第二款至第六款之條件，但其情事已具體改善，並經本會認可，得不受其限制。
期貨商開始營業後，符合下列各款規定者，得申請設置分支機構：
一、最近期經會計師查核簽證之財務報告，符合期貨商管理規則第十七條且無同規則第二十二條所定之情事者。
但因合併或受讓其他期貨商之全部或主要部分營業或財產，而增設分支機構者，不在此限。
二、最近三個月未曾受本會依本法第一百條第一項第一款所為之警告處分者。
但因合併或受讓其他期貨商之全部或主要部分營業或財產，而增設分支機構者，不在此限。
三、最近半年未曾受本會依本法第一百條第一項第二款撤換其負責人或其他有關人員之處分，或依本法第一百零一條第一項所為命令解除其負責人職務處分者。
四、最近一年未曾受本會依本法第一百條第一項第三款所為全部或一部之停業處分者。
五、最近二年未曾受本會依本法第一百條第一項第四款所為撤銷部分營業許可之處分者。
六、最近一年未經期貨交易所或期貨結算機構依其章則所為停止或限制買賣者。
七、最近一年無違反受託交易地區之當地期貨法令並受當地主管機關處分者。
期貨商不符前項第二款至第六款之條件，但其情事已具體改善，並經本會認可，得不受其限制。