Regulations Governing Futures Advisory Enterprises Article 19
Where any of the following circumstances apply, a person may not serve as the responsible person or an associated person of a futures advisory enterprise; any such person already serving in such capacity shall ipso facto be dismissed:1. Any of the circumstances in the subparagraphs of Article 30 of the Company Act.2. Such person served as a director, supervisor, managerial officer or other equivalent position of a juristic person at the time it was adjudicated bankrupt, and less than three years have elapsed since the finalization of the bankruptcy proceedings or where reconciliation has not been fulfilled.3. Such person has a record of being blacklisted in connection with use of a negotiable instrument at a financial institution within the past three years.4. Such person has been discharged from his position under Article 101, paragraph 1 of the Futures Trading Act, or Article 56 or Article 66, subparagraph 2 of the Securities and Exchange Act, Article 104 of the Securities Investment Trust and Consulting Act, or Article 44, subparagraph 1 of the Trust Enterprise Act within the past five years.5. Such person has been sentenced to a punishment 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 Regulations for Management of Foreign Exchange, the Insurance Act, the Credit Union Act, the Trust Enterprise Act, or the Financial Holding Company Act, and less than five years has elapsed since execution of the sentence, the expiration of probation, or the pardon of such punishment.6. Such person has been removed or dismissed from his/her position under Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act, Article 103, paragraph 1, subparagraph 2 of the Securities Investment Trust and Consulting Act, or Article 44, subparagraph 1 of the Trust Enterprise Act within the past five years.7. Where such person is proven to have improperly been used by others to fill a post of responsible person or associated person of a futures commission merchant.8. Where such person is proven by facts to have engaged in or been involved in other bad faith or improper activities, demonstrating his or her unsuitability to work in the futures industry.Where the responsible person is a juristic person, the provisions of the preceding paragraph shall apply mutatis mutandis to the juristic person's representative or designated representative in the performance of their duties.The responsible person of a futures advisory enterprise may not concurrently serve as the responsible person of any other futures advisory enterprise or managed futures enterprise.
中文原文 期貨顧問事業管理規則第19條
有下列各款情事之一者，不得充任期貨顧問事業之負責人或業務員，其已充任者，當然解任：
一、有公司法第三十條各款情事之一者。
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者。
三、最近三年內在金融機構使用票據有拒絕往來紀錄者。
四、受本法第一百零一條第一項、證券交易法第五十六條、第六十六條第二款、證券投資信託及顧問法第一百零四條、或信託業法第四十四條第一款解除職務處分，未滿五年者。
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，經受刑之宣告且執行完畢、緩刑期滿或赦免後未滿五年者。
六、受本法第一百條第一項第二款、證券投資信託及顧問法第一百零三條第一項第二款、或信託業法第四十四條第一款撤換或解除職務處分，未滿五年者。
七、經查明受他人利用充任期貨顧問事業負責人或業務員者。
八、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者。
負責人為法人者，前項規定對於該法人代表人或指定代表行使職務者，準用之。
期貨顧問事業之負責人不得兼為其他期貨顧問事業或期貨經理事業之負責人。
一、有公司法第三十條各款情事之一者。
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者。
三、最近三年內在金融機構使用票據有拒絕往來紀錄者。
四、受本法第一百零一條第一項、證券交易法第五十六條、第六十六條第二款、證券投資信託及顧問法第一百零四條、或信託業法第四十四條第一款解除職務處分，未滿五年者。
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，經受刑之宣告且執行完畢、緩刑期滿或赦免後未滿五年者。
六、受本法第一百條第一項第二款、證券投資信託及顧問法第一百零三條第一項第二款、或信託業法第四十四條第一款撤換或解除職務處分，未滿五年者。
七、經查明受他人利用充任期貨顧問事業負責人或業務員者。
八、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者。
負責人為法人者，前項規定對於該法人代表人或指定代表行使職務者，準用之。
期貨顧問事業之負責人不得兼為其他期貨顧問事業或期貨經理事業之負責人。