Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 25
When the FSC discovers any of the following circumstances after an enterprise has received approval for operation of investment consulting services for foreign securities, then in addition to voiding or revoking its approval, the FSC may also, in view of the severity of the circumstances, suspend for a period of 2 years its acceptance of any new business of the same type:1. The enterprise’s application documents contain misrepresentations.2. Violation of any provision of the preceding two articles.3. Violation of any other compulsory or prohibitive FSC regulation regarding operation of recommendation and consulting services for foreign securities investment.
中文原文 證券投資顧問事業管理規則（931030訂定）第25條
經核准經營外國有價證券投資顧問業務後，本會發現有下列情事之一者，得視情節之輕重，撤銷或廢止其核准，並得停止其二年內接受新外國有價證券投資顧問業務：
一、申請文件內容有虛偽不實情事。
二、違反前二條規定之一。
三、其他違反本會對經營外國有價證券投資顧問業務之強制或禁止規定。
一、申請文件內容有虛偽不實情事。
二、違反前二條規定之一。
三、其他違反本會對經營外國有價證券投資顧問業務之強制或禁止規定。