Regulations Governing the Public Offering of Securities Investment Trust Funds by Securities Investment Trust Enterprises Article 20
A fund distributor shall meet the criteria listed below:1. The net worth per share in the CPA-audited and certified financial report of the most recent period is not lower than par value; if it issues shares with no par value, the net worth per share shall be not lower than NT$10. However, this restriction shall not apply if it has had its business license for less than 1 full fiscal year, or if it is a bank whose ratio of regulatory capital to risk-weighted assets for the most recent year satisfies the provisions of Article 5 of the Regulations Governing the Capital Adequacy and Capital Category of Banks.2. In the past 2 years, has not been subject to a disposition under Article 103, subparagraphs 2 to 5, of the SITC Act; Article 66, subparagraphs 2 to 4 of the Securities and Exchange Act; Article 100, subparagraphs 2 to 4 of the Futures Trading Act; Article 44, subparagraphs 1 to 3 of the Trust Enterprise Act; Article 61-1, paragraph 1, subparagraphs 1 to 8 of the Banking Act; Article 149, paragraph 1, subparagraphs 1 to 6 of the Insurance Act; Article 27, paragraph 1, subparagraphs 1 to 7 of the Credit Cooperatives Act; Article 12, paragraph 1, subparagraphs 1 to 3 of the Postal Remittances and Savings Act; or Article 12-1, paragraph 1, subparagraphs 2 to 5 of the Financial Consumer Protection Act arising from the conduct of offshore fund, securities investment trust fund, or futures trust fund business. However, this shall not apply to dispositions in which an employee is dismissed from their position by order of the FSC, or where the circumstances of the violation have been specifically corrected and the correction has been recognized by the FSC.3. Shall have appropriate and sufficient associated persons to conduct fund distribution business, and such persons shall meet the criteria set forth in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises.4. Possesses the required information transmission equipment to carry out fund distribution business.5. Possesses other qualifications as required by the FSC.
中文原文 證券投資信託事業募集證券投資信託基金處理準則第20條
基金銷售機構應符合下列資格條件：
一、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，採行無票面金額股者，每股淨值不低於十元。
但取得營業執照未滿一個完整會計年度或銀行最近一年自有資本與風險性資產之比率符合銀行資本適足性及資本等級管理辦法第五條規定者，不在此限。
二、最近二年未曾因辦理境外基金、證券投資信託基金或期貨信託基金業務受本法第一百零三條第二款至第五款規定、證券交易法第六十六條第二款至第四款規定、期貨交易法第一百條第二款至第四款規定、信託業法第四十四條第一款至第三款規定、銀行法第六十一條之一第一項第一款至第八款規定、保險法第一百四十九條第一項第一款至第六款規定、信用合作社法第二十七條第一項第一款至第七款規定、郵政儲金匯兌法第十二條第一項第一款至第三款規定或金融消費者保護法第十二條之一第一項第二款至第五款規定之處分。
但本會命令解除職員職務之處分或其違法情事已具體改善並經本會認可者，不在此限。
三、辦理基金銷售業務應有適足之業務人員，並應符合證券投資信託事業負責人與業務人員管理規則所定業務人員之資格條件。
四、具備執行基金銷售業務之必要資訊傳輸設備。
五、其他經本會規定應具備之條件。
一、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，採行無票面金額股者，每股淨值不低於十元。
但取得營業執照未滿一個完整會計年度或銀行最近一年自有資本與風險性資產之比率符合銀行資本適足性及資本等級管理辦法第五條規定者，不在此限。
二、最近二年未曾因辦理境外基金、證券投資信託基金或期貨信託基金業務受本法第一百零三條第二款至第五款規定、證券交易法第六十六條第二款至第四款規定、期貨交易法第一百條第二款至第四款規定、信託業法第四十四條第一款至第三款規定、銀行法第六十一條之一第一項第一款至第八款規定、保險法第一百四十九條第一項第一款至第六款規定、信用合作社法第二十七條第一項第一款至第七款規定、郵政儲金匯兌法第十二條第一項第一款至第三款規定或金融消費者保護法第十二條之一第一項第二款至第五款規定之處分。
但本會命令解除職員職務之處分或其違法情事已具體改善並經本會認可者，不在此限。
三、辦理基金銷售業務應有適足之業務人員，並應符合證券投資信託事業負責人與業務人員管理規則所定業務人員之資格條件。
四、具備執行基金銷售業務之必要資訊傳輸設備。
五、其他經本會規定應具備之條件。