Standards Governing the Establishment of Managed Futures Enterprises Article 5
Under any of the following circumstances, a person may not act as a promoter, director, supervisor, manager, or associated person of a managed futures enterprise, or if already acting in such capacity, shall be dismissed:1.The circumstances of any subparagraph of Article 30 of the Company Act.2.The person was the director, supervisor, managerial officer or other equivalent position of a foundation at the time of bankruptcy adjudication, where less than three years have elapsed since the finalization of the bankruptcy proceedings or where reconciliation has not been completed.3.The person has a record of having a check refused at a financial institution within the past three years.4.The person has received a disposition ordering their dismissal or replacement pursuant to Article 100, paragraph 1, subparagraph 2 or Article 101, paragraph 1 of the Futures Trading Act, or Article 56, or Article 66, subparagraph 2 of the Securities and Exchange Act, or Article 103, subparagraph 2 or Article 104 of the Securities Investment Trust and Consulting Act within the past five years.5.The person has been sentenced under the Futures Trading Act, the Foreign Futures Trading Act, the Company Act, the Securities and Exchange Act, the Securities Investment Trust and Consulting Act, the Banking Act, the Central Bank of China Act, the Statute for 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 fine, and where less than five years has elapsed since full execution of the sentence, the expiration of probation, or the pardon of such punishment.6.The person is proven to have been improperly used by others to fill a post of promoter, director, supervisor, manager, or associated person of a managed futures enterprise.7.There is factual proof of the person's having been engaged or involved in other bad faith or improper activities, demonstrating his or her unsuitability to work in the futures industry.Where a promoter, director, or supervisor is a juristic person, the provisions of the preceding paragraph shall apply mutatis mutandis when the juristic person's representatives or the persons designated by the juristic person carry out business on its behalf.
中文原文 期貨經理事業設置標準第5條
有下列各款情事之一者，不得充任期貨經理事業之發起人、董事、監察人、經理人或業務員；其已充任者，當然解任：
一、有公司法第三十條各款情事之一。
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。
三、最近三年內在金融機構使用票據有拒絕往來紀錄。
四、受本法第一百條第一項第二款或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、或證券投資信託及顧問法第一百零三條第二款或第一百零四條所定撤換職務或解除職務處分，未滿五年。
五、違反本法、國外期貨交易法、公司法、證券交易法、證券投資信託及顧問法、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。
六、經查明受他人利用充任期貨經理事業發起人、董事、監察人、經理人或業務員。
七、有事實證明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。
發起人、董事或監察人為法人者，其代表人或指定代表行使職務時，準用前項規定。
一、有公司法第三十條各款情事之一。
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。
三、最近三年內在金融機構使用票據有拒絕往來紀錄。
四、受本法第一百條第一項第二款或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、或證券投資信託及顧問法第一百零三條第二款或第一百零四條所定撤換職務或解除職務處分，未滿五年。
五、違反本法、國外期貨交易法、公司法、證券交易法、證券投資信託及顧問法、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。
六、經查明受他人利用充任期貨經理事業發起人、董事、監察人、經理人或業務員。
七、有事實證明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。
發起人、董事或監察人為法人者，其代表人或指定代表行使職務時，準用前項規定。