Regulations Governing the Organization and Mediation Procedures of Securities Investor and Futures Trader Protection Institution Mediation Committees Article 12
Where any of the following circumstances is present in an application for mediation or is discovered in the course of mediation, the protection institution shall reject the application for mediation and specify its reasons; provided that where the circumstances can be rectified, a period for rectification shall be prescribed.1.The circumstances set forth in Article 23, paragraph 1 of the Act.2.A civil dispute arising out of securities or futures trading, and involving an institution not approved by the FSC for such operations, or personnel of such an institution.3.The applicant for mediation or the respondent lacks the capacity to be a party to the mediation.4.The applicant or the respondent has no capacity to make juridical acts, is limited in capacity to make juridical acts and has not obtained the approval of his or her statutory agent, or has been declared by a court to be placed under assistance and has not obtained the consent of his or her assistant.5.The application is made by an agent with a defective power of attorney.6.A party to the mediation is ineligible.7.An application document is formally defective or deficient in other respects.8.Executive title has already been obtained for the same matter under provisions of another act.
中文原文 證券投資人及期貨交易人保護機構調處委員會組織及調處辦法第12條
申請調處案件有下列各款情形之一者，保護機構應敘明理由退回之；於調處期間發現者亦同。
但其情形可以補正者，應定期間請其補正：
一、有本法第二十三條第一項情形者。
二、與未經本會核准經營業務之機構或其從業人員間，因買賣有價證券或期貨所生之民事爭議事件。
三、申請人或相對人無當事人能力者。
四、申請人或相對人為無行為能力人、限制行為能力人未得法定代理人之允許或受輔助宣告之人未得輔助人同意。
五、由代理人申請，而其代理權有欠缺者。
六、當事人不適格者。
七、申請書不合程式或有欠缺者。
八、同一事件依其他法律之規定，已取得強制執行名義者。
但其情形可以補正者，應定期間請其補正：
一、有本法第二十三條第一項情形者。
二、與未經本會核准經營業務之機構或其從業人員間，因買賣有價證券或期貨所生之民事爭議事件。
三、申請人或相對人無當事人能力者。
四、申請人或相對人為無行為能力人、限制行為能力人未得法定代理人之允許或受輔助宣告之人未得輔助人同意。
五、由代理人申請，而其代理權有欠缺者。
六、當事人不適格者。
七、申請書不合程式或有欠缺者。
八、同一事件依其他法律之規定，已取得強制執行名義者。