Regulations Governing Leverage Transaction Merchants Article 9
If an incomplete set of documents is submitted for an application under these Regulations or the documents are not fully filled out, and if the applicant fails to correct the deficiency within a prescribed time after being so notified by the competent authority, the application will be returned.Under any of the following circumstances, the competent authority may refuse to issue an approval or a permission license for an application by a futures commission merchant to concurrently operate a leverage transaction merchant:1. A misrepresentation is found in any content or item in the application documents.2. The business plan or the internal control system is insufficiently concrete or cannot be effectively executed.3. One of the circumstances set out under Article 28 of the Act applies to a director, supervisor, or a person appointed as a managerial officer of the leverage transaction merchant.4. The futures commission merchant is not in compliance with the provision of Article 6.5. Any other circumstance where withholding approval is deemed necessary for protection of the public interest.
中文原文 槓桿交易商管理規則第9條
依本規則提出之申請書件不完備或記載事項不充分，經主管機關限期補正，逾期不能完成補正者，退回其申請案件。
期貨商申請兼營槓桿交易商，有下列情形之一者，主管機關得不予許可或核發許可證照：
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、董事、監察人或被指派擔任槓桿交易商之經理人有本法第二十八條規定情事。
四、未符合第六條規定。
五、其他為保護公益，認有必要。
期貨商申請兼營槓桿交易商，有下列情形之一者，主管機關得不予許可或核發許可證照：
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、董事、監察人或被指派擔任槓桿交易商之經理人有本法第二十八條規定情事。
四、未符合第六條規定。
五、其他為保護公益，認有必要。