Standards Governing the Establishment of Securities Investment Trust Enterprises Article 23
A SICE meeting the following conditions may apply to concurrently operate securities investment trust business, provided, however, that such an application may not be made if the securities investment consulting business is operated on a concurrent basis by an enterprise in another line of business:1.Has been in operation for at least a full 3 years.2.Has paid-in capital of no less than NT$300 million.3.Has one or more shareholders meeting the qualification requirements in Article 8, with a shareholding or combined shareholding of no less than 20% of the total issued shares.4.Has net worth per share of not less than par value, as shown in the CPA-audited and certified financial report for the most recent period.5.Has not, during the last 3 months, for any reason related to its conduct of securities investment analysis or futures research and analysis activities, been subject to any action of official reprimand by the FSC pursuant to the SITC Act, or any action of warning, imposition of breach penalty, suspension of membership entitlements in part or in full, or revocation or suspension of membership by the SITCA or the Chinese National Futures Association (CNFA) pursuant to its self-regulatory rules.6.Has not, during the last half year, been sanctioned under Article 103, subparagraph 1 of the SITC Act, Article 66, subparagraph 1 of the Securities and Exchange Act, or Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act.7.Has not, during the last two years, been sanctioned under Article 103, subparagraphs 2 to 5 of the SITC Act, Article 66, subparagraphs 2 to 4 of the Securities and Exchange Act, or Article 100, paragraph 1, subparagraphs 2 to 4 of the Futures Trading Act.If a SICE has been subject to a sanction or action under any of subparagraphs 5 to 7 of the preceding paragraph and has been ordered to achieve improvement, but has failed to effect concrete improvement by the time it applies to concurrently operate securities investment trust business, the FSC may deny its application.
中文原文 證券投資信託事業設置標準第23條
證券投資顧問事業符合下列資格條件，得申請兼營證券投資信託業務。
但由他業兼營證券投資顧問業務者，不得為之：
一、營業滿三年。
二、實收資本額不少於新臺幣三億元。
三、應有一名以上符合第八條所定資格條件之股東，且其合計持股不少於已發行股份百分之二十。
四、最近期經會計師查核簽證之財務報告每股淨值不低於面額。
五、最近三個月未曾因從事證券投資分析或期貨研究分析活動受本會依本法糾正或同業公會、中華民國期貨業商業同業公會依自律規章為警告、處以違約金、停止會員應享有之部分或全部權益、撤銷或暫停會員資格之處置。
六、最近半年未曾受本法第一百零三條第一款、證券交易法第六十六條第一款或期貨交易法第一百條第一項第一款之處分。
七、最近二年未曾受本法第一百零三條第二款至第五款、證券交易法第六十六條第二款至第四款或期貨交易法第一百條第一項第二款至第四款之處分。
證券投資顧問事業曾受前項第五款至第七款之處分或處置，且命令其改善，於申請兼營證券投資信託業務時仍未具體改善者，本會得不許可其申請。
但由他業兼營證券投資顧問業務者，不得為之：
一、營業滿三年。
二、實收資本額不少於新臺幣三億元。
三、應有一名以上符合第八條所定資格條件之股東，且其合計持股不少於已發行股份百分之二十。
四、最近期經會計師查核簽證之財務報告每股淨值不低於面額。
五、最近三個月未曾因從事證券投資分析或期貨研究分析活動受本會依本法糾正或同業公會、中華民國期貨業商業同業公會依自律規章為警告、處以違約金、停止會員應享有之部分或全部權益、撤銷或暫停會員資格之處置。
六、最近半年未曾受本法第一百零三條第一款、證券交易法第六十六條第一款或期貨交易法第一百條第一項第一款之處分。
七、最近二年未曾受本法第一百零三條第二款至第五款、證券交易法第六十六條第二款至第四款或期貨交易法第一百條第一項第二款至第四款之處分。
證券投資顧問事業曾受前項第五款至第七款之處分或處置，且命令其改善，於申請兼營證券投資信託業務時仍未具體改善者，本會得不許可其申請。