Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 7-3
Given any of the following circumstances in an application by a SITE or a SICE for operation of discretionary investment business, the FSC may withhold permission:1. The business plan or the internal control system is insufficiently specific or cannot be effectively implemented.2. The department supervisors or associated persons operating the discretionary investment business do not meet the provisions of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises regarding qualification or exclusively holding the given position.3. The content of the application or matters set out therein are discovered to contain misrepresentations.4. Other circumstances under which it is deemed necessary to withhold approval in order to protect the public interest.The FSC may withhold permission given any of the following circumstances in an application by a SITE or a SICE for operation of trust-type discretionary investment business:1. The circumstances in any of the subparagraphs of the preceding paragraph.2. The person with authority to determine the disposition of trust assets does not meet the requirement under the Trust Enterprise Act of not concurrently holding any other position.3. The responsible person of the SITE or SICE and the associated persons that operate and manage trusts do not possess the qualifications or the specialized knowledge or experience in relation to trusts required by the Regulations Governing the Concurrent Operation of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第7-3條
證券投資信託事業或證券投資顧問事業申請經營全權委託投資業務之申請案件有下列情形之一者，本會得不予許可：
一、營業計畫書或內部控制制度內容欠具體或無法有效執行。
二、從事全權委託投資業務之部門主管或業務人員不符合證券投資顧問事業負責人與業務人員管理規則所定之資格條件或專任之規定。
三、申請文件內容或事項經發現有虛偽不實之情事。
四、其他為保護公益，認有必要。
證券投資信託事業或證券投資顧問事業申請以信託方式經營全權委託投資業務之申請案件有下列情形之一者，本會得不予許可：
一、前項各款情形之一。
二、對信託財產具有運用決定權者，不符合信託業法所定專任之規定。
三、負責人、經營與管理信託業務人員不符合兼營信託業務管理辦法所定之資格條件及信託專門學識或經驗。
一、營業計畫書或內部控制制度內容欠具體或無法有效執行。
二、從事全權委託投資業務之部門主管或業務人員不符合證券投資顧問事業負責人與業務人員管理規則所定之資格條件或專任之規定。
三、申請文件內容或事項經發現有虛偽不實之情事。
四、其他為保護公益，認有必要。
證券投資信託事業或證券投資顧問事業申請以信託方式經營全權委託投資業務之申請案件有下列情形之一者，本會得不予許可：
一、前項各款情形之一。
二、對信託財產具有運用決定權者，不符合信託業法所定專任之規定。
三、負責人、經營與管理信託業務人員不符合兼營信託業務管理辦法所定之資格條件及信託專門學識或經驗。