Standards Governing the Establishment of Securities Firms Article 10-1
In any of the following circumstances, the FSC may deny an application for a permit to establish a securities firm:1. Any of the circumstances in Article 4 applies with respect to a promoter.2. Any of the circumstances in Article 53 of the Act applies with respect to a director, supervisor, or managerial officer.3. Any misrepresentation or falsehood is found in any content or information in the application documents.4. The business plan or the internal control system is not concrete enough, or cannot be implemented effectively.5. Other circumstances under which denial of permission is considered necessary to protect the public interest.If the application documents submitted under this Chapter are incomplete or otherwise contain incomplete information, and the situation cannot be corrected within a time limit designated by the FSC, the application documents will be rejected.
中文原文 證券商設置標準第10-1條
設置證券商之申請案件有下列情形之一者，本會得不予許可：
一、發起人有第四條規定情事。
二、董事、監察人或經理人有本法第五十三條規定情事。
三、申請書件內容或事項經發現有虛偽不實之情事。
四、營業計畫書或內部控制制度內容欠具體或無法有效執行。
五、其他為保護公益，認有必要。
依本章規定提出之申請書件不完備或記載事項不充分，經本會限期補正，逾期不能完成補正者，退回其申請案件。
一、發起人有第四條規定情事。
二、董事、監察人或經理人有本法第五十三條規定情事。
三、申請書件內容或事項經發現有虛偽不實之情事。
四、營業計畫書或內部控制制度內容欠具體或無法有效執行。
五、其他為保護公益，認有必要。
依本章規定提出之申請書件不完備或記載事項不充分，經本會限期補正，逾期不能完成補正者，退回其申請案件。