Standards Governing the Establishment of Securities Firms Article 16-1
An FCM that applies to concurrently operate securities business shall meet all of the following requirements:1. Its CPA-audited and attested financial report for the most recent period shows no accumulated deficit, is in compliance with Article 17 of the Regulations Governing Futures Commission Merchants, and is free of the circumstances specified in Article 22 of those same Regulations.2. It has not been subject to a warning sanction by the FSC in the most recent 3 months.3. In the most recent half-year it has not been subject to any FSC sanction under Article 66, subparagraph 2 of the Act ordering the company to dismiss any director, supervisor, or managerial officer from office, nor subject to any FSC sanction under Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act ordering it to dismiss its responsible person or other relevant personnel.4. It has not been subject to any FSC sanction suspending business operations in the most recent year.5. It has not been subject to any FSC sanction voiding permission for any part of its business in the most recent 2 years.6. It has not, in the most recent year, had its trading operations suspended or restricted pursuant to the bylaws of the futures exchange or a futures clearing house.7. Other requirements as specified by the FSC.If an FCM is not in compliance with a requirement in subparagraphs 2 to 6 of the preceding paragraph, but the circumstances have shown concrete improvement, it may be exempted from those restrictions with the approval of the FSC.
中文原文 證券商設置標準第16-1條
期貨商申請兼營證券業務，應符合下列各款之規定：
一、最近期經會計師查核簽證之財務報告無累積虧損，並符合期貨商管理規則第十七條且無同規則第二十二條所定之情事。
二、最近三個月未曾受本會為警告之處分。
三、最近半年未曾受本會依本法第六十六條第二款所為命令該公司解除其董事、監察人或經理人職務處分者，或依期貨交易法第一百條第一項第二款撤換其負責人或其他有關人員之處分。
四、最近一年未曾受本會為停業之處分。
五、最近二年未曾受本會撤銷部分營業許可之處分。
六、最近一年未曾受期貨交易所或期貨結算機構依其章則停止或限制買賣。
七、其他經本會規定之條件。
期貨商不符前項第二款至第六款之條件，但其情事已具體改善，並經本會認可者，得不受其限制。
一、最近期經會計師查核簽證之財務報告無累積虧損，並符合期貨商管理規則第十七條且無同規則第二十二條所定之情事。
二、最近三個月未曾受本會為警告之處分。
三、最近半年未曾受本會依本法第六十六條第二款所為命令該公司解除其董事、監察人或經理人職務處分者，或依期貨交易法第一百條第一項第二款撤換其負責人或其他有關人員之處分。
四、最近一年未曾受本會為停業之處分。
五、最近二年未曾受本會撤銷部分營業許可之處分。
六、最近一年未曾受期貨交易所或期貨結算機構依其章則停止或限制買賣。
七、其他經本會規定之條件。
期貨商不符前項第二款至第六款之條件，但其情事已具體改善，並經本會認可者，得不受其限制。