Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 11-3
A securities firm director, supervisor, or related party thereof, who acts concurrently as a director or supervisor of any other financial institution as set forth in Article 11-1, paragraph 1 will be presumed to have a conflict of interest unless the securities firm and that financial institution have a controlling and subordinate relation as defined in the Company Act or such concurrent appointment is held in accordance with these Regulations.The term "director" or "supervisor" as used in the preceding paragraph means those within the following scope:1. A juristic person and any natural person appointed by that juristic person to exercise the duties.2. A juristic person and any elected natural person representative who represents a juristic person.3. An elected natural person who is neither appointed by nor a representative of the government or a juristic person.The term "related party" of a director or supervisor as used in paragraph 1 means any party related to the same natural person or the same juristic person, within the following scope:1. Parties related to the same natural person:A. The spouse and lineal relatives of that natural person.B. Any enterprise in which that natural person and persons referred to in the preceding item hold in aggregate more than one-third of the issued voting shares or capital, or any enterprise or foundation in which that natural person and persons referred to in the preceding item serve as the chairman or general manager or in a majority of the director positions.2. Parties related to the same juristic person:A. The chairman of that juristic person and his or her spouse and lineal relatives.B. Any enterprise in which that juristic person and natural persons referred to in the preceding item hold more than one-third of the issued voting shares or capital, or any enterprise or foundation in which that juristic person and natural persons referred to in the preceding item serve as the chairman or general manager or in a majority of the director positions.C. Affiliates of that juristic person. The term "affiliate" shall be as defined under Articles 369-1 to 369-3, Article 369-9, and Article 369-11 of the Company Act.The preceding three paragraphs shall not apply to the government or to a securities firm in which the government directly and/or indirectly holds 100 percent of the shares. However, persons appointed by or representing the government or such a securities firm to serve in its capacity as a juristic-person director or supervisor shall not concurrently serve in any position in another financial institution unless with the approval of the FSC.If a securities firm director, supervisor, or related person thereof has a conflict of interest set out in paragraph 1 or the preceding paragraph, the FSC may order the securities firm to make adjustments within a prescribed period of time. The person shall be dismissed if the securities firm fails to make the adjustments within the time period without good cause.Those who were already serving as a director or supervisor of a securities firm prior to the enforcement of the 28 October 2022 amendment to this article may continue to serve for the duration of their original term, without being subject to the restrictions in the preceding five paragraphs.
中文原文 證券商負責人與業務人員管理規則第11-3條
證券商董事、監察人本人或其關係人同時擔任第十一條之一第一項所列其他金融機構之董事、監察人，推定有利益衝突之情事。
但證券商與其他金融機構屬公司法所稱控制與從屬關係者，或依本規則規定兼任者，不在此限。
前項所稱董事、監察人本人，範圍如下：
一、法人及其指定行使職務之自然人。
二、法人及代表法人當選之自然人代表人。
三、非以政府、法人或其代表人當選之自然人。
第一項所稱董事、監察人本人之關係人，指同一自然人或同一法人之關係人，其範圍如下：
一、同一自然人之關係人：
（一）該自然人之配偶及直系血親。
（二）該自然人與前目之人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、同一法人之關係人：
（一）該法人之董事長、其配偶及直系血親。
（二）該法人與前目之自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（三）該法人之關係企業。
關係企業適用公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定。
政府及其直接、間接持有百分之百股份之證券商，不適用前三項規定。
但其所指派之法人董事、監察人代表或代表人，除經本會核准外，不得兼任其他金融機構任何職務。
證券商董事、監察人本人或其關係人，有第一項或前項利益衝突情事時，本會得限期命其調整；無正當理由屆期未調整者，應予解任。
本條中華民國一百十一年十月二十八日修正施行前，已擔任證券商董事或監察人者，得於原任期內續任之，不受前五項規定之限制。
但證券商與其他金融機構屬公司法所稱控制與從屬關係者，或依本規則規定兼任者，不在此限。
前項所稱董事、監察人本人，範圍如下：
一、法人及其指定行使職務之自然人。
二、法人及代表法人當選之自然人代表人。
三、非以政府、法人或其代表人當選之自然人。
第一項所稱董事、監察人本人之關係人，指同一自然人或同一法人之關係人，其範圍如下：
一、同一自然人之關係人：
（一）該自然人之配偶及直系血親。
（二）該自然人與前目之人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、同一法人之關係人：
（一）該法人之董事長、其配偶及直系血親。
（二）該法人與前目之自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（三）該法人之關係企業。
關係企業適用公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定。
政府及其直接、間接持有百分之百股份之證券商，不適用前三項規定。
但其所指派之法人董事、監察人代表或代表人，除經本會核准外，不得兼任其他金融機構任何職務。
證券商董事、監察人本人或其關係人，有第一項或前項利益衝突情事時，本會得限期命其調整；無正當理由屆期未調整者，應予解任。
本條中華民國一百十一年十月二十八日修正施行前，已擔任證券商董事或監察人者，得於原任期內續任之，不受前五項規定之限制。