Securities Investment Trust and Consulting Act Article 68
A person under any of the following circumstances may not serve as a promoter, responsible person, or associated person of a securities investment trust enterprise or securities investment consulting enterprise; where such a person is already serving as a responsible person or associated person, he or she shall be dismissed, and may not serve as a director, supervisor, or managerial officer, and the Competent Authority shall request the competent authority for corporate registration by letter to withdraw or revoke the registration of such person:1.Has previously been convicted by a final and unappealable judgment of a crime under the Organized Crime Prevention Act, and has not completed serving the sentence, or five years have not elapsed since completion of the sentence, expiration of the suspended sentence, or pardon.2.Has previously been sentenced by a final and unappealable judgment to imprisonment for one year or more for fraud, breach of trust, or misappropriation, and has not completed serving the sentence, or two years have not elapsed since completion of the term of sentence, expiration of the suspended sentence, or pardon.3.Has previously been sentenced by a final and unappealable judgment to a sentence of imprisonment or greater severity for misappropriation related to public function or occupation and has not completed serving the sentence, or two years have not elapsed since completion of the sentence, expiration of the suspended sentence, or pardon.4.Has previously been convicted by a final and unappealable judgment of a crime under the Securities and Exchange Act or this Act, and has not completed serving the sentence, or three years have not elapsed since completion of the sentence, expiration of the suspended sentence, or pardon.5.Has previously been sentenced by a final and unappealable judgment to a sentence of imprisonment or greater severity for engaging in the business of accepting deposits, managing trust funds or public properties, or handling domestic or foreign remittances in violation of Article 29, paragraph 1, of the Banking Act and has not completed serving the sentence, or three years have not elapsed since completion of the term of sentence, expiration of the suspended sentence, or pardon.6.Has previously been sentenced by a final and unappealable judgment to a sentence of imprisonment or greater severity for engaging in trust business in violation of Article 33 of the Trust Enterprise Act and has not completed serving the sentence, or three years have not elapsed since completion of the sentence, expiration of the suspended sentence, or pardon.7.Has been adjudicated bankrupt and his or her rights have not been reinstated, or previously served as a director, supervisor, managerial officer, or in another equivalent position of a juristic person when such juristic person was adjudicated bankrupt, and three years have not elapsed since the bankruptcy was concluded, or the reconciliation has not been fulfilled.8.Has been refused transaction because of dishonor of a negotiable instrument and transactions have not been reinstated.9.Has no legal disposing capacity or limited disposing capacity, or has been declared by a court to be under assistance and that declaration has not been withdrew.10.Has been subject to a disposition under Article 56, or subparagraph 2 of Article 66 of the Securities and Exchange Act, or to a disposition of dismissal from duties under subparagraph 2 of Article 103, or Article 104, of this Act, and three years have not elapsed since such disposition.11.Has previously served as a director or supervisor of a securities firm, securities investment trust enterprise, or securities investment consulting enterprise, and during the term of such position, such enterprise was subject to a disposition under subparagraph 3 of Article 66 of the Securities and Exchange Act, or to a disposition of suspension of business or revocation of its permission for operation under subparagraph 4 or 5 of Article 103 of this Act, and one year has not elapsed since such disposition.12.Has been subject to removal or dismissal from duties under Article 100, paragraph 1, subparagraph 2, or Article 101, paragraph 1 of the Futures Trading Act, and five years have not elapsed since such disposition.13.It has been discovered that the promoter has allowed others to use their own name for the purpose of acting as a promoter, director, supervisor, managerial officer or associated person of a securities investment trust enterprise or securities investment consulting enterprise.14.There is factual evidence that the promoter has engaged in or been involved in other dishonest or improper activities, showing the promoter to be unsuitable for engaging in securities investment trust and securities investment consulting business.Where a promoter, director, or supervisor is a juristic person, the provisions of the preceding paragraph shall apply mutatis mutandis with respect to the exercise of duties by its representative or designated representative.
中文原文 證券投資信託及顧問法第68條
有下列情事之一者，不得充任證券投資信託事業與證券投資顧問事業之發起人、負責人及業務人員；其已充任負責人或業務人員者，解任之，不得充任董事、監察人或經理人者，並由主管機關函請公司登記主管機關撤銷或廢止其登記：
一、曾犯組織犯罪防制條例規定之罪，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
二、曾犯詐欺、背信或侵占罪，經宣告有期徒刑一年以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
三、曾犯公務或業務侵占罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
四、違反證券交易法或本法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
五、違反銀行法第二十九條第一項規定經營收受存款、受託經理信託資金、公眾財產或辦理國內外匯兌業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
六、違反信託業法第三十三條規定辦理信託業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
七、受破產之宣告，尚未復權，或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，其破產終結尚未逾三年或調協未履行。
八、使用票據經拒絕往來尚未恢復往來。
九、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
十、受證券交易法第五十六條或第六十六條第二款之處分，或受本法第一百零三條第二款或第一百零四條解除職務之處分，尚未逾三年。
十一、曾擔任證券商、證券投資信託事業或證券投資顧問事業之董事、監察人，而於任職期間，該事業受證券交易法第六十六條第三款或第四款之處分，或受本法第一百零三條第四款或第五款停業或廢止營業許可之處分，尚未逾一年。
十二、受期貨交易法第一百條第一項第二款或第一百零一條第一項撤換或解除職務之處分，尚未逾五年。
十三、經查明接受他人利用其名義充任證券投資信託事業及證券投資顧問事業發起人、董事、監察人、經理人或業務人員。
十四、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合從事證券投資信託及證券投資顧問業務。
發起人及董事、監察人為法人者，其代表人或指定代表行使職務時，準用前項規定。
一、曾犯組織犯罪防制條例規定之罪，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
二、曾犯詐欺、背信或侵占罪，經宣告有期徒刑一年以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
三、曾犯公務或業務侵占罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾二年。
四、違反證券交易法或本法規定，經有罪判決確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
五、違反銀行法第二十九條第一項規定經營收受存款、受託經理信託資金、公眾財產或辦理國內外匯兌業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
六、違反信託業法第三十三條規定辦理信託業務，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾三年。
七、受破產之宣告，尚未復權，或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，其破產終結尚未逾三年或調協未履行。
八、使用票據經拒絕往來尚未恢復往來。
九、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
十、受證券交易法第五十六條或第六十六條第二款之處分，或受本法第一百零三條第二款或第一百零四條解除職務之處分，尚未逾三年。
十一、曾擔任證券商、證券投資信託事業或證券投資顧問事業之董事、監察人，而於任職期間，該事業受證券交易法第六十六條第三款或第四款之處分，或受本法第一百零三條第四款或第五款停業或廢止營業許可之處分，尚未逾一年。
十二、受期貨交易法第一百條第一項第二款或第一百零一條第一項撤換或解除職務之處分，尚未逾五年。
十三、經查明接受他人利用其名義充任證券投資信託事業及證券投資顧問事業發起人、董事、監察人、經理人或業務人員。
十四、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合從事證券投資信託及證券投資顧問業務。
發起人及董事、監察人為法人者，其代表人或指定代表行使職務時，準用前項規定。