Regulations Governing Qualification Requirements for the Founder or Responsible Persons of Financial Holding Companies and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of a Financial Holding Company Article 13
A responsible person of a financial holding company who, due to the investment relationship, concurrently holds a position in a subsidiary is not subject to the restrictions in the first half of Paragraph 3, Article 11 of the Act Governing Bills Finance Business, provided that the responsible person holding such concurrent position shall still meet the relevant qualification requirements prescribed by the regulatory authority responsible for the supervision of that subsidiary.The chairperson or general manager of a financial holding company may act concurrently as chairperson of only one invested enterprise or subsidiary. This restriction shall not apply, however, in any of the following circumstances:1. The chairperson or general manager of a financial holding company act concurrently as the chairperson of a bank subsidiary and as the chairperson of an overseas subsidiary bank. If it is otherwise prescribed by the foreign competent authority, then the person should comply accordingly.2. To act concurrently as chairperson of one or more subsidiaries during a certain period of time as necessitated to facilitate a business merger or organizational restructuring for purposes of enhancing overall operating effectiveness and efficiency.3. To act concurrently during a certain period of time as necessitated by other special factors.The concurrent positions mentioned in Subparagraph 2 and 3 of the preceding paragraph should be approved by the competent authority.A responsible person of a financial holding company may act concurrently as a manager of only one invested enterprise or subsidiary.A financial holding company shall on a regular basis evaluate the performance of a responsible person concurrently holding a position in a subsidiary under Paragraph 1 of the preceding article, having regards to its investment management needs, risk management policies, and the provisions of the Regulation; the evaluation results shall serve as an important reference to determine whether the concurrently held position(s) will be maintained or reduced in number.
中文原文 金融控股公司發起人負責人應具備資格條件負責人兼職限制及應遵行事項準則第13條
金融控股公司負責人因投資關係兼任子公司職務，不受票券金融管理法第十一條第三項前段規定限制，但其資格條件仍應符合該子公司目的事業主管機關之相關規定。
金融控股公司董事長或總經理兼任轉投資事業及子公司董事長職務以一個為限。
但有下列情形之一者，不在此限：
一、金融控股公司董事長或總經理兼任銀行子公司之董事長，同時兼任國外子銀行之董事長者。
國外主管機關另有規定者，依其規定。
二、為進行合併或組織改造以提升綜合經營效益需要，於一定期間內兼任者。
三、其他特殊因素需要，於一定期間內兼任者。
前項第二款及第三款之兼任行為應報經主管機關核准。
金融控股公司負責人兼任轉投資事業及子公司經理人職務以一個為限。
金融控股公司應依據其投資管理需要、風險管理政策，及本準則之規定，定期對負責人兼任前條第一項職務之績效予以考核，考核結果作為繼續兼任及酌減兼任職務之重要參考。
金融控股公司董事長或總經理兼任轉投資事業及子公司董事長職務以一個為限。
但有下列情形之一者，不在此限：
一、金融控股公司董事長或總經理兼任銀行子公司之董事長，同時兼任國外子銀行之董事長者。
國外主管機關另有規定者，依其規定。
二、為進行合併或組織改造以提升綜合經營效益需要，於一定期間內兼任者。
三、其他特殊因素需要，於一定期間內兼任者。
前項第二款及第三款之兼任行為應報經主管機關核准。
金融控股公司負責人兼任轉投資事業及子公司經理人職務以一個為限。
金融控股公司應依據其投資管理需要、風險管理政策，及本準則之規定，定期對負責人兼任前條第一項職務之績效予以考核，考核結果作為繼續兼任及酌減兼任職務之重要參考。