Standards Governing the Establishment of Futures Advisory Enterprises Article 5
A securities broker applying to concurrently operate a futures advisory enterprise shall possess the following qualifications:1. It shall have been established for a full two years.2. Its CPA-audited and attested financial report for the most recent period shall show a per-share value not lower than the par value.3. It shall have received no correction order under Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act, Article 66, subparagraph 1 of the Securities and Exchange Act, Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, or Article 44 of the Trust Enterprise Act within the preceding three months.4. It shall have received no disposition under Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act, Article 66, subparagraph 2 of the Securities and Exchange Act, Article 103, subparagraphs 2 or 3 of the Securities Investment Trust and Consulting Act, or Article 44, subparagraph 1 of the Trust Enterprise Act within the preceding half year.5. It shall have received no disposition under Article 100, paragraph 1, subparagraph 3 of the Futures Trading Act, Article 66, subparagraph 3 of the Securities and Exchange Act, Article 103, subparagraph 4 of the Securities Investment Trust and Consulting Act, or Article 44, subparagraph 2 of the Trust Enterprise Act within the past year.6. It shall have received no disposition under Article 100, paragraph 1, subparagraph 4 of the Futures Trading Act or Article 66, subparagraph 4 of the Securities and Exchange Act, Article 103, subparagraph 5 of the Securities Investment Trust and Consulting Act, or Article 44, subparagraph 3 of the Trust Enterprise Act within the past two years.7. It shall have received no disposition under which its trading is suspended or restricted pursuant to the bylaws of a securities exchange, OTC securities exchange, futures exchange, or futures settlement institution within the past year.8. Any other conditions as set by the competent authority.In addition to compliance with the qualifications set out in subparagraphs 3 through 8 of the preceding paragraph, the CPA audited and attested financial report for the most recent period of a futures broker applying to concurrently operate a futures advisory enterprise shall also comply with the provisions of Article 17 of the Rules Governing Futures Commission Merchants, while at the same time the futures broker shall be free of any of the circumstances under Article 22 of those Rules.A managed futures enterprise that applies to concurrently operate a futures advisory business shall possess the qualifications of paragraph 1, subparagraphs 3 through 8.In addition to compliance with the qualifications of each subparagraph of paragraph 1, the paid-in capital of an SICE applying to concurrently operate a futures advisory enterprise may be no less than 50 million New Taiwan Dollars, provided that the paid-in capital of a SICE engaging in discretionary investment business that is applying for concurrent operation of a futures advisory enterprise shall be no less than 70 million New Taiwan Dollars.If a futures broker, managed futures enterprise, securities broker, or SICE that applies to concurrently operate a futures advisory enterprise fails to meet any of the requirements set forth under subparagraphs 3 to 7 of the preceding paragraph, but has shown concrete improvement in the circumstances, and the competent authority has recognized the improvement, it may exempted from the relevant requirement.
中文原文 期貨顧問事業設置標準第5條
證券經紀商申請兼營期貨顧問事業，應具備下列條件：
一、設立滿二年。
二、最近期經會計師查核簽證之財務報告，每股淨值不低於面額。
三、最近三個月未曾受本法第一百條第一項第一款、證券交易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、或信託業法第四十四條所定糾正處分。
四、最近半年未曾受本法第一百條第一項第二款、證券交易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、或信託業法第四十四條第一款之處分。
五、最近一年未曾受本法第一百條第一項第三款、證券交易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、或信託業法第四十四條第二款之處分。
六、最近二年未曾受本法第一百條第一項第四款、證券交易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、或信託業法第四十四條第三款之處分。
七、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之處置。
八、其他經主管機關規定之條件。
期貨經紀商申請兼營期貨顧問事業，除應具備前項第三款至第八款所定條件外，其最近期經會計師查核簽證之財務報告，並應符合期貨商管理規則第十七條規定且無同規則第二十二條所定情事。
期貨經理事業申請兼營期貨顧問事業，應具備第一項第三款至第八款所定條件。
證券投資顧問事業申請兼營期貨顧問事業，除應具備第一項各款所定條件外，其實收資本額應達新臺幣五千萬元。
但經營全權委託投資業務之證券投資顧問事業申請兼營者，其實收資本額應達新臺幣七千萬元。
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，不符第一項第三款至第七款之條件，但其情事已具體改善，並經主管機關認可，得不受其限制。
一、設立滿二年。
二、最近期經會計師查核簽證之財務報告，每股淨值不低於面額。
三、最近三個月未曾受本法第一百條第一項第一款、證券交易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、或信託業法第四十四條所定糾正處分。
四、最近半年未曾受本法第一百條第一項第二款、證券交易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、或信託業法第四十四條第一款之處分。
五、最近一年未曾受本法第一百條第一項第三款、證券交易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、或信託業法第四十四條第二款之處分。
六、最近二年未曾受本法第一百條第一項第四款、證券交易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、或信託業法第四十四條第三款之處分。
七、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之處置。
八、其他經主管機關規定之條件。
期貨經紀商申請兼營期貨顧問事業，除應具備前項第三款至第八款所定條件外，其最近期經會計師查核簽證之財務報告，並應符合期貨商管理規則第十七條規定且無同規則第二十二條所定情事。
期貨經理事業申請兼營期貨顧問事業，應具備第一項第三款至第八款所定條件。
證券投資顧問事業申請兼營期貨顧問事業，除應具備第一項各款所定條件外，其實收資本額應達新臺幣五千萬元。
但經營全權委託投資業務之證券投資顧問事業申請兼營者，其實收資本額應達新臺幣七千萬元。
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，不符第一項第三款至第七款之條件，但其情事已具體改善，並經主管機關認可，得不受其限制。