Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 7
Except where otherwise provided by law or regulation, a securities firm may enter into a brokerage contract with a principal for trading of foreign securities. If any of the following circumstances exists, the securities firm shall not accept the opening of an account by a principal, and if an account has been opened, such account shall be cancelled:1. The party is a minor acting without the representation of a statutory agent2. The party has been adjudged bankrupt and not reinstated.3. The party has been declared by a court to be under guardianship, where such declaration has not yet been voided.4. The party has been declared by a court to be under assistance, and the consent of the assistant or permission of the court has not been given.5. The party has been authorized by a juristic person to open an account, but is unable to produce a power of attorney from such juristic person authorizing the account opening.6. The party has a record of breaching a securities trading contract, and the case has not been settled while less than 5 years have passed.7. The party has been sentenced under the Securities and Exchange Act to a penalty of equal or greater severity to the imposition of a criminal fine, and 3 years have not elapsed since the completion of sentence execution, the expiration of suspension of sentence, or the pardon of such punishment.
中文原文 證券商受託買賣外國有價證券管理規則第7條
證券商除法令另有規定者外，得接受委託人簽訂受託買賣外國有價證券契約，如有下列情事之一者，證券商不得接受其開戶，已開戶者應取消其開戶：
一、未成年人未經法定代理人代理。
二、受破產之宣告未經復權。
三、受監護宣告未經撤銷。
四、受輔助宣告未經輔助人同意或法院許可。
五、法人委託開戶未能提出該法人授權開戶之證明。
六、曾因證券交易違背契約，未結案且未滿五年。
七、曾經違反證券交易法規定，受罰金以上刑之宣告，執行完畢、緩刑期滿或赦免後未滿三年。
一、未成年人未經法定代理人代理。
二、受破產之宣告未經復權。
三、受監護宣告未經撤銷。
四、受輔助宣告未經輔助人同意或法院許可。
五、法人委託開戶未能提出該法人授權開戶之證明。
六、曾因證券交易違背契約，未結案且未滿五年。
七、曾經違反證券交易法規定，受罰金以上刑之宣告，執行完畢、緩刑期滿或赦免後未滿三年。