Standards Governing the Establishment of Securities Firms Article 38
A securities firm or a financial institution concurrently operating securities business that applies for an additional type of business shall meet all of the following requirements:1. The applicant has not been sanctioned by the FSC with a warning under Article 66, subparagraph 1 of the Act within the most recent 3 months.2. The applicant has not been sanctioned by the FSC with an order under Article 66, subparagraph 2 of the Act to dismiss any of its directors, supervisors, or managerial officers or with replacement of its responsible person or other related personnel under Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act within the most recent half year.3. The applicant has not been sanctioned by the FSC with suspension of business operations within the most recent 1 year.4. The applicant has not been sanctioned by the FSC with voidance of permission for any part of its business within the most recent 2 years.5. The applicant has not been sanctioned with suspension or restriction of trading by the TWSE, TPEx, or TAIFEX pursuant to its rules or bylaws within the most recent 1 year.6. The regulatory capital adequacy ratio of the securities firm is not lower than 150 percent.If a securities firm does not meet a requirement set forth in any of subparagraphs 1 to 5 of the preceding paragraph, but has shown concrete improvement in the circumstances, and the FSC has recognized the improvement, the securities firm may be exempted from the relevant requirement.
中文原文 證券商設置標準第38條
證券商或兼營證券業務之金融機構申請增加業務種類，應符合左列各款之規定：
一、最近三個月未曾受本會依本法第六十六條第一款所為之警告處分者。
二、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者。
三、最近一年未曾受本會為停業之處分者。
四、最近二年未曾受本會撤銷部分營業許可之處分者。
五、最近一年未曾受證券交易所、證券櫃檯買賣中心、期貨交易所依其章則為處以停止或限制買賣之處分者。
六、證券商自有資本適足比率未低於百分之一百五十者。
證券商不符前項第一款至第五款之條件，但其情事已具體改善，並經本會認可，得不受其限制。
一、最近三個月未曾受本會依本法第六十六條第一款所為之警告處分者。
二、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者。
三、最近一年未曾受本會為停業之處分者。
四、最近二年未曾受本會撤銷部分營業許可之處分者。
五、最近一年未曾受證券交易所、證券櫃檯買賣中心、期貨交易所依其章則為處以停止或限制買賣之處分者。
六、證券商自有資本適足比率未低於百分之一百五十者。
證券商不符前項第一款至第五款之條件，但其情事已具體改善，並經本會認可，得不受其限制。