Regulations Governing Leverage Transaction Merchants Article 6
A futures commission merchant applying to concurrently operate a leverage transaction merchant shall satisfy the following eligibility requirements, and shall comply with TPEx regulations:1. It must have engaged in proprietary trading business for a full 3 years.2. Its CPA audited and attested financial report for the most recent period must show a net worth of NT$1 billion, with no accumulated deficits, while meeting the provisions of Article 17 of the Regulations Governing Futures Commission Merchants.3. The monthly simple arithmetic mean of the percentage accounted for by adjusted net capital in the total amount of customer margins required for the open positions of futures traders during the preceding 6 months must not have been lower than 40 percent in any month.4. It must not have been subject to any sanction under Article 100, paragraph 1, subparagraph 1 of the Act, Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 1 of the Securities and Exchange Act during the preceding half year.5. It must not have been subject to any sanction under Article 100, paragraph 1, subparagraphs 2 to 4 of the Act, Article 103, subparagraphs 2 to 5 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraphs 2 to 4 of the Securities and Exchange Act during the preceding 2 years.6. It must not have been subject to a suspension or restriction of trading by the TAIFEX, the futures clearing house, the TWSE, or the TPEx pursuant to their operating rules or bylaws during the preceding year.7. Any other requirements set by the competent authority.If a futures commission merchant does not meet the requirements of subparagraphs 4 to 6 of the preceding paragraph, but has shown a concrete improvement of the circumstances and the competent authority has recognized the improvement, it may be exempted from those restrictions.
中文原文 槓桿交易商管理規則第6條
期貨商申請兼營槓桿交易商，應符合下列資格條件，並應依證券櫃檯買賣中心之規定辦理：
一、須經營自營業務滿三年。
二、最近期經會計師查核簽證之財務報告顯示淨值達新臺幣十億元以上，且無累積虧損，並符合期貨商管理規則第十七條之規定。
三、最近六個月調整後淨資本額占期貨交易人未沖銷部位所需之客戶保證金總額比例之月簡單算術平均數，每月均不得低於百分之四十。
四、最近半年未曾受本法第一百條第一項第一款、證券投資信託及顧問法第一百零三條第一款或證券交易法第六十六條第一款之處分。
五、最近二年未曾受本法第一百條第ㄧ項第二款至第四款、證券投資信託及顧問法第一百零三條第二款至第五款或證券交易法第六十六條第二款至第四款之處分。
六、最近一年未曾受期貨交易所、期貨結算機構、證券交易所及證券櫃檯買賣中心依營業細則或業務章則處以停止或限制買賣。
七、其他經主管機關規定之條件。
期貨商不符前項第四款至第六款之條件，惟其情事已具體改善，並經主管機關認可者，得不受其限制。
一、須經營自營業務滿三年。
二、最近期經會計師查核簽證之財務報告顯示淨值達新臺幣十億元以上，且無累積虧損，並符合期貨商管理規則第十七條之規定。
三、最近六個月調整後淨資本額占期貨交易人未沖銷部位所需之客戶保證金總額比例之月簡單算術平均數，每月均不得低於百分之四十。
四、最近半年未曾受本法第一百條第一項第一款、證券投資信託及顧問法第一百零三條第一款或證券交易法第六十六條第一款之處分。
五、最近二年未曾受本法第一百條第ㄧ項第二款至第四款、證券投資信託及顧問法第一百零三條第二款至第五款或證券交易法第六十六條第二款至第四款之處分。
六、最近一年未曾受期貨交易所、期貨結算機構、證券交易所及證券櫃檯買賣中心依營業細則或業務章則處以停止或限制買賣。
七、其他經主管機關規定之條件。
期貨商不符前項第四款至第六款之條件，惟其情事已具體改善，並經主管機關認可者，得不受其限制。