Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 16
A securities broker or futures broker applying to concurrently operate a SICE that conducts discretionary investment business shall meet the following conditions:1. If a futures broker, has obtained a permission license renewed by the FSC for concurrent operation of a managed futures enterprise.2. 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.3. 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 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.4. 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, Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act, or been given an official reprimand, or ordered to achieve improvement within a specified period of time, under Article 44 of the Trust Enterprise Act.5. Has not, during the last 2 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, Article 100, paragraph 1, subparagraphs 2 to 4 of the Futures Trading Act, or Article 44, subparagraphs 1 to 3 of the Trust Enterprise Act.6. If it has been sanctioned under any of the provisions of subparagraphs 3 to 5 herein and ordered to achieve improvement, concrete improvement has been achieved.
中文原文 證券投資顧問事業設置標準第16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全權委託投資業務，應符合下列各款規定：
一、期貨經紀商已取得本會所換發兼營期貨經理事業許可證照者。
二、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。
三、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同業公會或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者。
四、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、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、限期改善之處分者。
五、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、期貨交易法第一百條第一項第二款至第四款或信託業法第四十四條第一款至第三款之處分者。
六、曾受第三款至第五款之處分或處置，且命令其改善，已具體改善者。
一、期貨經紀商已取得本會所換發兼營期貨經理事業許可證照者。
二、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。
三、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同業公會或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者。
四、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、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、限期改善之處分者。
五、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、期貨交易法第一百條第一項第二款至第四款或信託業法第四十四條第一款至第三款之處分者。
六、曾受第三款至第五款之處分或處置，且命令其改善，已具體改善者。