Standards Governing the Establishment of Securities Investment Consulting Enterprises Article 9
Upon an application to operate a SICE, the FSC may deny permission in any of the following circumstances:1. Any circumstance in Article 68 of the SITC Act exists with respect to any promoter.2. The application documents are found to contain misrepresentations.3. The business plan is not concrete enough or cannot be effectively implemented.4. Any managerial officer, department supervisor, or associated person does not meet the qualification requirements set out in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.5. Any managerial officer, department supervisor, or associated person does not work full-time, thus violating the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.6. Any violation of Article 68 of the SITC Act with respect to any director, supervisor, managerial officer, or associated person.7. There is likelihood that the professional competence of any promoter, responsible person, or associated person is insufficient for sound and effective operation of a SICE.
中文原文 證券投資顧問事業設置標準第9條
經營證券投資顧問事業之申請案件有下列情形之一者，本會得不予許可：
一、發起人有本法第六十八條規定情事之一。
二、申請文件內容或事項經發現有虛偽不實之情事。
三、營業計畫書內容欠具體或無法有效執行。
四、經理人、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。
五、經理人、部門主管或業務人員違反證券投資顧問事業負責人與業務人員管理規則所定專任之規定。
六、董事、監察人、經理人或業務人員違反本法第六十八條規定。
七、發起人、負責人或業務人員之專業能力有無法健全有效經營證券投資顧問事業之虞。
一、發起人有本法第六十八條規定情事之一。
二、申請文件內容或事項經發現有虛偽不實之情事。
三、營業計畫書內容欠具體或無法有效執行。
四、經理人、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。
五、經理人、部門主管或業務人員違反證券投資顧問事業負責人與業務人員管理規則所定專任之規定。
六、董事、監察人、經理人或業務人員違反本法第六十八條規定。
七、發起人、負責人或業務人員之專業能力有無法健全有效經營證券投資顧問事業之虞。