Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 41
A SICE meeting each of the following conditions may apply to establish a branch unit:1. Has been in operation for at least a full 2 years. Such restriction does not apply, however, to the establishment of a branch unit as a result of merger or transfer.2. Has net worth per share of not less than par value, as shown in the latest CPA-audited and attested financial report. Such restriction does not apply, however, to the establishment of a new branch unit as a result of merger or transfer.3. 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.4. 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.5. 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.6. 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.7. If it has been sanctioned under any of the provisions of subparagraphs 3 to 6 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41條
證券投資顧問事業符合下列各款之規定，得申請設立分支機構：
一、營業滿二年者。
但因合併或受讓而設置分支機構者，不在此限。
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。
但因合併或受讓而增設分支機構者，不在此限。
三、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。
四、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。
五、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。
六、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。
七、曾受第三款至第六款之處分，且命令其改善，已具體改善者。
一、營業滿二年者。
但因合併或受讓而設置分支機構者，不在此限。
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。
但因合併或受讓而增設分支機構者，不在此限。
三、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。
四、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。
五、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。
六、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。
七、曾受第三款至第六款之處分，且命令其改善，已具體改善者。