Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 11
A securities broker or futures broker applying to concurrently operate a SICE that conducts securities investment consulting business shall meet the following requirements:1. Has net worth per share of not less than par value, as shown in the CPA-audited and attested financial report for the most recent period.2. Has not, during the last 3 months, been sanctioned under Article 103, subparagraph 1 of the SITC Act, Article 66, subparagraph 1 of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act, or on 3 or more occasions been given an official reprimand, or ordered to achieve improvement within a specified period of time, under Article 44 of the Trust Enterprise Act.3. Has not, during the last half year, been sanctioned under Article 103, subparagraph 2 or 3 of the SITC Act, Article 66, subparagraph 2 of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act, or Article 44, subparagraph 1 of the Trust Enterprise Act.4. Has not, during the last year, been sanctioned under Article 103, subparagraph 4 of the SITC Act, Article 66, subparagraph 3 of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 3 of the Futures Trading Act, or Article 44, subparagraph 2 of the Trust Enterprise Act.5. Has not, during the last 2 years, been sanctioned under Article 103, subparagraph 5 of the SITC Act, Article 66, subparagraph 4 of the Securities and Exchange Act, Article 100, paragraph 1, subparagraph 4 of the Futures Trading Act, or Article 44, subparagraph 3 of the Trust Enterprise Act.6. If it has been sanctioned under any of the provisions of subparagraphs 2 to 5 herein and ordered to achieve improvement, concrete improvement has been achieved.7. Has not, during the last year, had its trading privileges suspended or restricted by a securities exchange, an over-the-counter securities market, a futures exchange, or a futures clearing house pursuant to its bylaws.
中文原文 證券投資顧問事業設置標準第11條
證券經紀商或期貨經紀商申請兼營證券投資顧問事業辦理證券投資顧問業務，應符合下列各款之規定：
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者。
二、最近三個月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、期貨交易法第一百條第一項第一款或信託業法第四十四條糾正、限期改善三次以上之處分者。
三、最近半年未曾受本法第一百零三條第二款、第三款、證券交易法第六十六條第二款、期貨交易法第一百條第一項第二款或信託業法第四十四條第一款規定之處分者。
四、最近一年未曾受本法第一百零三條第四款、證券交易法第六十六條第三款、期貨交易法第一百條第一項第三款或信託業法第四十四條第二款規定之處分者。
五、最近二年未曾受本法第一百零三條第五款、證券交易法第六十六條第四款、期貨交易法第一百條第一項第四款或信託業法第四十四條第三款規定之處分者。
六、曾受第二款至第五款之處分，且命令其改善，已具體改善者。
七、最近一年未曾受證券交易所、證券櫃檯買賣中心、期貨交易所或期貨結算機構依其章則所為停止或限制買賣者。
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者。
二、最近三個月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、期貨交易法第一百條第一項第一款或信託業法第四十四條糾正、限期改善三次以上之處分者。
三、最近半年未曾受本法第一百零三條第二款、第三款、證券交易法第六十六條第二款、期貨交易法第一百條第一項第二款或信託業法第四十四條第一款規定之處分者。
四、最近一年未曾受本法第一百零三條第四款、證券交易法第六十六條第三款、期貨交易法第一百條第一項第三款或信託業法第四十四條第二款規定之處分者。
五、最近二年未曾受本法第一百零三條第五款、證券交易法第六十六條第四款、期貨交易法第一百條第一項第四款或信託業法第四十四條第三款規定之處分者。
六、曾受第二款至第五款之處分，且命令其改善，已具體改善者。
七、最近一年未曾受證券交易所、證券櫃檯買賣中心、期貨交易所或期貨結算機構依其章則所為停止或限制買賣者。