Regulations Governing Futures Commission Merchants Article 56-2
Except where otherwise provided by law or regulation, a futures commission merchant investing in a foreign enterprise shall meet with each of the following requirements:1. Within the preceding 3 months, the merchant has not received a warning from the FSC.2. Within the preceding half-year, the merchant has not been ordered by the FSC to discharge or replace a director, supervisor, or managerial officer.3. Within the preceding 1 year, the merchant has not been ordered by the FSC to suspend its business.4. Within the preceding 2 years, the merchant has not been sanctioned by the FSC with voidance or revocation of a license of a branch office or any portion of its business.5. In the preceding 1 year, the merchant has not had its trading rights terminated or restricted by the TWSE, TPEx, TAIFEX or a futures clearing house pursuant to its bylaws.6. The futures commission merchant's average adjusted net capital for the preceding quarter was not less than 40 percent of the total amount of margin deposits required for futures traders' open positions, and it did not show an accumulated deficit in the financial report (audited and attested by a certified public accountant) for the most recent fiscal period, and it is in compliance with the provisions of Article 17 and Article 23, and none of the situations contemplated under Article 22 apply to it.7. The total amount invested in foreign and Mainland China enterprises may not exceed 40 percent of a futures commission merchant's net worth, and together with funds used for other purposes approved by the FSC in accordance with Article 23, subparagraph 4 may not exceed 40 percent of a futures commission merchant's net worth. This requirement shall not apply, however, where there is a particular need and special approval is granted.If a futures commission merchant fails to meet any of the requirements set forth in subparagraphs 1 to 5 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 期貨商管理規則第56-2條
期貨商申請投資外國事業，除法令另有規定者外，應符合下列各款之規定：
一、最近三個月未曾受本會警告處分。
二、最近半年未曾受本會命令解除或撤換其董事、監察人或經理人職務處分。
三、最近一年未曾受本會停業處分。
四、最近二年未曾受本會撤銷或廢止分支機構或部分營業許可處分。
五、最近一年未經證券交易所、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。
六、最近三個月期貨商之平均調整後淨資本額不少於期貨交易人未沖銷部位所需之客戶保證金總額百分之四十，且最近期經會計師查核簽證之財務報告無累積虧損，並符合第十七條及第二十三條規定且無第二十二條所定之情事。
七、投資外國及大陸事業之總金額，不得超過期貨商淨值百分之四十，且與其他經本會依第二十三條第四款規定核准之資金用途合計不得超過期貨商淨值百分之四十。
但有特殊需要經專案核准者，不在此限。
期貨商不符前項第一款至第五款之條件，但其情事已具體改善，並經本會認可，得不受其限制。
一、最近三個月未曾受本會警告處分。
二、最近半年未曾受本會命令解除或撤換其董事、監察人或經理人職務處分。
三、最近一年未曾受本會停業處分。
四、最近二年未曾受本會撤銷或廢止分支機構或部分營業許可處分。
五、最近一年未經證券交易所、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。
六、最近三個月期貨商之平均調整後淨資本額不少於期貨交易人未沖銷部位所需之客戶保證金總額百分之四十，且最近期經會計師查核簽證之財務報告無累積虧損，並符合第十七條及第二十三條規定且無第二十二條所定之情事。
七、投資外國及大陸事業之總金額，不得超過期貨商淨值百分之四十，且與其他經本會依第二十三條第四款規定核准之資金用途合計不得超過期貨商淨值百分之四十。
但有特殊需要經專案核准者，不在此限。
期貨商不符前項第一款至第五款之條件，但其情事已具體改善，並經本會認可，得不受其限制。