Securities Investment Trust and Consulting Act Article 88
The missions of the Securities Investment Trust and Consulting Association include the following matters, in addition to the matters set out in Article 5 of the Commercial Associations Act:1.Adopting self-regulatory rules and overseeing self-regulation by its members.2.Carrying out matters that the Competent Authority has authorized it to handle.3.Imposing sanctions on members who violate acts, regulations, or self-disciplinary rules, such sanctions including suspension of privileges, imposition of penalties, warnings, orders to make corrections by a deadline, and so forth; or requiring a member to suspend an associated person thereof from executing his or her duties for a period of one to six months.4.Investigating whether members are abiding by acts, regulations, and self-regulatory rules.5.In cases where a member's business operations are obviously unsound and have materially injured the rights and interests of investors, coordinating other members to assist in handling the business of the member or reporting to the Competent Authority and asking it to make an appropriate disposition.6.Administering property of bankrupt members.7.Rendering dispositions to withdraw or suspend the memberships of members who violate this Act.Where the Securities Investment Trust and Consulting Association requires a member to suspend an associated person thereof from executing his or her duties under subparagraph 3 of the preceding paragraph or renders a disposition under subparagraph 7 of the preceding paragraph, it shall report to the Competent Authority for recordation.As necessary to the mission under paragraph 1, the Securities Investment Trust and Consulting Association may make inquiries of its members, require them to provide relevant materials for review, or notify them to give explanations; a member may not refuse to comply.
中文原文 證券投資信託及顧問法第88條
同業公會之任務，除依商業團體法第五條規定辦理外，包括下列事項：
一、訂定自律規範，並督促會員自律。
二、辦理主管機關授權處理之事項。
三、對違反法令或自律規範之會員予以停權、課予違約金、警告、命其限期改善等處置；或要求會員對其從業人員予以暫停執行業務一個月至六個月之處置。
四、檢查會員是否遵守法令及自律規範。
五、對於業務經營顯然不善，重大損害投資人權益之會員，協調其他會員協助處理該會員之業務，或報請主管機關為適當之處分。
六、對於破產會員之財產進行管理。
七、對於違反本法規定之會員為撤銷或暫停會員資格之處置。
同業公會為前項第三款要求會員對其從業人員暫停執行業務或第七款之處置，應報請主管機關備查。
同業公會為第一項任務之需要，得向會員查詢及調閱有關資料或通知提出說明，會員不得拒絕。
一、訂定自律規範，並督促會員自律。
二、辦理主管機關授權處理之事項。
三、對違反法令或自律規範之會員予以停權、課予違約金、警告、命其限期改善等處置；或要求會員對其從業人員予以暫停執行業務一個月至六個月之處置。
四、檢查會員是否遵守法令及自律規範。
五、對於業務經營顯然不善，重大損害投資人權益之會員，協調其他會員協助處理該會員之業務，或報請主管機關為適當之處分。
六、對於破產會員之財產進行管理。
七、對於違反本法規定之會員為撤銷或暫停會員資格之處置。
同業公會為前項第三款要求會員對其從業人員暫停執行業務或第七款之處置，應報請主管機關備查。
同業公會為第一項任務之需要，得向會員查詢及調閱有關資料或通知提出說明，會員不得拒絕。