Standards Governing the Establishment of Futures Advisory Enterprises Article 15
Under any of the following circumstances, the competent authority may withhold approval for an application for concurrent operation of futures advisory business by a futures broker, managed futures enterprise, securities broker, or SICE:1. The content or matters set out in the application documents are discovered to contain misrepresentations.2. The operations plan or the description of the internal control system lacks specificity or cannot be effectively implemented.3. Business operations have not been effectively carried out in conformance with the internal control system.4. The circumstances set out in Article 19 of the Regulations Governing Futures Advisory Enterprises apply to the directors, supervisors, or persons appointed to serve as managerial officers of the futures advisory enterprise.5. Any other circumstances where withholding of approval is deemed necessary for protection of the public interest.
中文原文 期貨顧問事業設置標準第15條
期貨經紀商、期貨經理事業、證券經紀商及證券投資顧問事業申請兼營期貨顧問事業或申請其分支機構辦理期貨顧問業務，有下列情形之一者，主管機關得不予許可：
一、申請書件內容或事項經發現有虛偽不實之情事。
二、營業計畫書或內部控制制度內容欠具體或無法有效執行。
三、業務經營未依內部控制制度有效執行。
四、董事、監察人或被指派擔任期貨顧問事業之經理人有期貨顧問事業管理規則第十九條規定情事。
五、其他為保護公益，認有必要。
一、申請書件內容或事項經發現有虛偽不實之情事。
二、營業計畫書或內部控制制度內容欠具體或無法有效執行。
三、業務經營未依內部控制制度有效執行。
四、董事、監察人或被指派擔任期貨顧問事業之經理人有期貨顧問事業管理規則第十九條規定情事。
五、其他為保護公益，認有必要。