Regulations Governing Futures Commission Merchants Article 18-2
Where any of the following circumstances applies to a futures commission merchant, the FSC may reject its filing to carry out a capital increase for cash or issue corporate bonds; provided, this restriction shall not apply where the reason is a merger of the futures commission merchant, or where concrete improvement has been made and the improvement has been recognized by the FSC:1. Within the past 3 months, it has been sanctioned with a warning by the FSC.2. Within the past half year, it has been sanctioned by the FSC with an order to discharge or replace a director, supervisor, or managerial officer.3. Within the past 1 year, it has been sanctioned by the FSC with suspension of business.4. Within the past 2 years, it has been sanctioned by the FSC with voidance or revocation of a license of any branch office or any portion of its business.5. Within the past 1 year, its has been suspended or restricted from trading by the Taiwan Stock Exchange (TWSE), the Taipei Exchange (TPEx), the TAIFEX, or a futures clearing house, pursuant to bylaws thereof.Calculation of the periods in the subparagraphs of the preceding paragraph shall commence from the effective date of the FSC sanction or the disposition by the TWSE, TPEx, TAIFEX, or futures clearing house.
中文原文 期貨商管理規則第18-2條
期貨商有下列情事之一者，本會得退回其辦理現金增資或募集公司債案件。
但因期貨商合併或其情事已具體改善，並經本會認可者，不在此限：
一、最近三個月曾受本會警告處分。
二、最近半年曾受本會命令解除或撤換其董事、監察人或經理人職務之處分。
三、最近一年曾受本會停業之處分。
四、最近二年曾受本會撤銷或廢止分支機構或部分營業許可之處分。
五、最近一年曾經臺灣證券交易所股份有限公司（以下簡稱證券交易所）、財團法人中華民國證券櫃檯買賣中心（以下簡稱證券櫃檯買賣中心）、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。
前項各款期間，自本會處分或證券交易所、證券櫃檯買賣中心、期貨交易所、期貨結算機構處置之生效日起算。
但因期貨商合併或其情事已具體改善，並經本會認可者，不在此限：
一、最近三個月曾受本會警告處分。
二、最近半年曾受本會命令解除或撤換其董事、監察人或經理人職務之處分。
三、最近一年曾受本會停業之處分。
四、最近二年曾受本會撤銷或廢止分支機構或部分營業許可之處分。
五、最近一年曾經臺灣證券交易所股份有限公司（以下簡稱證券交易所）、財團法人中華民國證券櫃檯買賣中心（以下簡稱證券櫃檯買賣中心）、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。
前項各款期間，自本會處分或證券交易所、證券櫃檯買賣中心、期貨交易所、期貨結算機構處置之生效日起算。