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 4-1
The director, supervisor, general manager, or its related person, of a financial holding company who act concurrently as the director, supervisor, or general manager of other financial holding companies will be deemed to have a conflict of interest unless such concurrent appointment is allowed under the Act or The Banking Act of The Republic of China and its regulations.The term “director” or “supervisor” as used in the preceding Paragraph shall have the following meanings:1. A juristic person or the natural person designated by such juristic person to exercise the duties.2. A juristic person or the elected natural person who represents such juristic person.3. An elected natural person who does not represent the government, any juristic person or the representative of a juristic person or the government.The term “related person of the director, supervisor, or general manager” as used in Paragraph 1 shall mean parties related to the same natural person or juristic person, including: 1. Parties related to the same natural person :(1) The spouse and direct relatives of that natural person ; or(2) Enterprises in which the natural person and natural persons as referred to in the preceding subparagraph hold more than one third (1/3) of their outstanding voting shares or more than one third of their capital, or enterprises or foundations in which the natural person and natural persons referred to in the preceding subparagraph act as their chairman, president or directors representing the majority of directors.2. Parties related to the same juristic person:(1) The chairman of the juristic person and his spouse and direct relatives;(2) Enterprises in which the juristic person and natural persons referred to in the preceding subparagraph hold more than one third (1/3) of their outstanding voting shares or more than one third of their capital, or enterprises or foundations in which the juristic person and natural persons referred to in the preceding subparagraph act as their chairman, president or directors representing the majority of directors.(3) The affiliates of the juristic person. The term "affiliate" shall be defined under Articles 369-1 through 369-3, Articles 369-9 and 369-11 of the Company Act.The preceding three Paragraphs shall not apply to the government and a financial institution that its shareholding is directly or indirectly 100 percent held by the government. However the representative or the natural person act as the director and supervisor of the juristic person designated by the government and the financial institution, shall not serve as the director, supervisor, or general manager in other financial holding companies unless with the approval of the competent authority.When the director, supervisor, and general manager of a financial holding company, or their related person has a conflict of interest set out in Paragraphs 1 or the preceding Paragraph, the competent authority shall order the financial holding company to make adjustment within a prescribed period of time; the person shall be dismissed when the financial holding company fails to adjust within the time period and without justifiable reason.
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4-1條
金融控股公司董事、監察人及總經理本人或其關係人同時擔任其他金融控股公司之董事、監察人或總經理，推定有利益衝突之情事。
但依本法或銀行法令規定兼任者，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、監察人及總經理本人之關係人，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金融機構，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，除經主管機關核准外，不得兼任其他金融控股公司之董事、監察人或總經理。
金融控股公司董事、監察人及總經理本人或其關係人，有第一項或前項利益衝突情事時，主管機關得限期命其調整；無正當理由屆期未調整者，應予解任。
但依本法或銀行法令規定兼任者，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、監察人及總經理本人之關係人，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金融機構，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，除經主管機關核准外，不得兼任其他金融控股公司之董事、監察人或總經理。
金融控股公司董事、監察人及總經理本人或其關係人，有第一項或前項利益衝突情事時，主管機關得限期命其調整；無正當理由屆期未調整者，應予解任。