Standards Governing the Establishment of Futures Commission Merchants Article 4
A person to whom any of the following applies shall not serve as a promoter, director, supervisor, manager, or associated person of a futures commission merchant. If such a person is already serving in such a capacity, he/she shall be discharged from that position:1. any person specified in any subparagraph of Article 30 of the Company Act;2. any person who served as the director, supervisor, manager, or other equivalent position of a juristic person at the time it was adjudicated bankrupt, where 3 years have not yet elapsed since the finalization of the bankruptcy proceedings, or where reconciliation has not been satisfied;3. any person whose checking account at a financial institution has been dishonored within the preceding 3 years;4. any person who has been discharged from a position under Article 101, paragraph 1 of the Act, or Article 56, or Article 66, subparagraph 2 of the Securities and Exchange Act within the past 5 years;5. any person who has been sentenced under the Act, the Foreign Futures Trading Act, the Company Act, the Securities and Exchange Act, the Banking Act, the Central Bank of China Act, the Act for the Regulation of Foreign Exchange, the Insurance Act, the Credit Union Act, the Trust Enterprise Act, or the Financial Holding Company Act to a punishment not less severe than a criminal fine; and 5 years have not yet elapsed since the sentence was served, the probation expired, or the offense was pardoned;6. any person who has been removed from a position pursuant to Article 100, paragraph 1, subparagraph 2 of the Act within the past 5 years;7. any person who has been proved to have acted as the promoter, director, supervisor, manager, or associated person of a futures commission merchant on behalf of another; or8. any person who has, as proven by facts, engaged in or been involved in other bad-faith or inappropriate activities, such that he/she is demonstrably unfit to work in the futures industry;Where the promoter, director, or supervisor is a juristic person, the provisions of the preceding paragraph shall apply mutatis mutandis to the representatives or the designated individuals executing businesses for the juristic person.Paragraph 1 of this Article shall apply mutatis mutandis to the responsible person of the enterprises or the foreign futures commission merchants referred to in the proviso of Article 2.
中文原文 期貨商設置標準第4條
有下列各款情事之一者，不得充任期貨商之發起人、董事、監察人、經理人或業務員，其已充任者，解任之：
一、有公司法第三十條各款情事之一者。
二、曾任法人宣告破產時之董事、監察人、經理人或與其地位相等之人，其破產終結未滿三年或調協未履行者。
三、最近三年內在金融機構使用票據有拒絕往來紀錄者。
四、受本法第一百零一條第一項、證券交易法第五十六條或第六十六條第二款解除職務處分，未滿五年者。
五、違反本法、國外期貨交易法、公司法、證券交易法、銀行法、中央銀行法、管理外匯條例、保險法、信用合作社法、信託業法或金融控股公司法規定，經受罰金以上刑之宣告及執行完畢、緩刑期滿或赦免後未滿五年者。
六、受本法第一百條第一項第二款撤換職務處分，未滿五年者。
七、經查明受他人利用充任期貨商發起人、董事、監察人、經理人或業務員者。
八、有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業者。
發起人、董事或監察人為法人者，前項規定，對於該法人代表人或指定代表行使職務者，準用之。
第一項規定，於第二條但書規定之事業或外國期貨商負責人準用之。
一、有公司法第三十條各款情事之一者。
二、曾任法人宣告破產時之董事、監察人、經理人或與其地位相等之人，其破產終結未滿三年或調協未履行者。
三、最近三年內在金融機構使用票據有拒絕往來紀錄者。
四、受本法第一百零一條第一項、證券交易法第五十六條或第六十六條第二款解除職務處分，未滿五年者。
五、違反本法、國外期貨交易法、公司法、證券交易法、銀行法、中央銀行法、管理外匯條例、保險法、信用合作社法、信託業法或金融控股公司法規定，經受罰金以上刑之宣告及執行完畢、緩刑期滿或赦免後未滿五年者。
六、受本法第一百條第一項第二款撤換職務處分，未滿五年者。
七、經查明受他人利用充任期貨商發起人、董事、監察人、經理人或業務員者。
八、有事實證明曾經從事或涉及其他不誠信或不正當活動，顯示其不適合從事期貨業者。
發起人、董事或監察人為法人者，前項規定，對於該法人代表人或指定代表行使職務者，準用之。
第一項規定，於第二條但書規定之事業或外國期貨商負責人準用之。