Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Article 12
A futures commission merchant applying to operate securities introducing broker business shall meet the following requirements:1.It has received no sanction during the last three months under Article 66, subparagraph 1 of the SEA, Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, or Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act.2.It has received no sanction during the last half year under Article 66, subparagraph 2 of the SEA, Article 103, subparagraph 2 or 3 of the Securities Investment Trust and Consulting Act, or Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act.3.It has received no sanction during the last half year under Article 66, subparagraph 3 of the SEA, Article 103, subparagraph 4 of the Securities Investment Trust and Consulting Act, or Article 100, paragraph 1, subparagraph 3 of the Futures Trading Act.4.It has received no sanction during the last two years under Article 66, subparagraph 4 of the SEA, Article 103, subparagraph 5 of the Securities Investment Trust and Consulting Act, or Article 100, paragraph 1, subparagraph 4 of the Futures Trading Act.5.It has not during the last year had its trading privileges suspended or restricted by a securities exchange, over-the-counter securities market, futures exchange, or futures clearing house pursuant to their respective bylaws.6.Other requirements prescribed by the competent authority.When a futures commission merchant has been sanctioned under any of subparagraphs 1 to 4 of the preceding paragraph and ordered by the competent authority to take corrective action, but at the time of its application to operate securities introducing broker business has nevertheless failed to effect concrete improvement, the competent authority may reject its application.
中文原文 期貨商經營證券交易輔助業務管理規則第12條
期貨商申請經營證券交易輔助業務，應具備下列條件：
一、最近三個月未曾受本法第六十六條第一款、證券投資信託及顧問法第一百零三條第一款或期貨交易法第一百條第一項第一款之處分。
二、最近半年未曾受本法第六十六條第二款、證券投資信託及顧問法第一百零三條第二款或第三款、或期貨交易法第一百條第一項第二款之處分。
三、最近一年未曾受本法第六十六條第三款、證券投資信託及顧問法第一百零三條第四款或期貨交易法第一百條第一項第三款之處分。
四、最近二年未曾受本法第六十六條第四款、證券投資信託及顧問法第一百零三條第五款或期貨交易法第一百條第一項第四款之處分。
五、最近一年未曾受證券交易所、證券櫃檯買賣中心、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之處置。
六、其他經主管機關規定之條件。
期貨商曾受前項第一款至第四款所定任一款之處分，且經主管機關命令其改善，於申請經營證券交易輔助業務時，仍未具體改善者，主管機關得不許可其申請。
一、最近三個月未曾受本法第六十六條第一款、證券投資信託及顧問法第一百零三條第一款或期貨交易法第一百條第一項第一款之處分。
二、最近半年未曾受本法第六十六條第二款、證券投資信託及顧問法第一百零三條第二款或第三款、或期貨交易法第一百條第一項第二款之處分。
三、最近一年未曾受本法第六十六條第三款、證券投資信託及顧問法第一百零三條第四款或期貨交易法第一百條第一項第三款之處分。
四、最近二年未曾受本法第六十六條第四款、證券投資信託及顧問法第一百零三條第五款或期貨交易法第一百條第一項第四款之處分。
五、最近一年未曾受證券交易所、證券櫃檯買賣中心、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之處置。
六、其他經主管機關規定之條件。
期貨商曾受前項第一款至第四款所定任一款之處分，且經主管機關命令其改善，於申請經營證券交易輔助業務時，仍未具體改善者，主管機關得不許可其申請。