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
The chairperson of a financial holding company may not serve concurrently as a general manager. However, a person is not subject to the restrictions if the person has one of the following facts and has been approved by the competent authority：1.The chairperson or the general manager cannot carry on their duties due to resignation from the job.2.The chairperson or the general manager is replaced or dismissed by the competent authority.3.The chairperson or the general manager has encountered other issues that prevent them from continuing their job.When a financial holding company applies for its chairperson to act concurrently as the general manager pursuant to the proviso in (of) the preceding paragraph to the competent authority, the competent authority is allowed to ratify a maximum of three months for concurrent positions. The financial holding company may apply for one extension, if needed, to the competent authority one month before the end of the period.The chairperson or the general manager of a financial holding company is not allowed act as the chairperson, general manager or equivalent titles of other non-financial enterprises; however, people are not subject to these restrictions if they act in an incorporated foundation or other non-profit corporation.The promoter or the responsible person of a financial holding company may not act as the responsible person of other financial holding companies. However, a person is not subject to the restrictions on account of a merge and has been approved by the competent authority.When the person violates the four preceding restrictions, 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.If the government or a juridical person is a shareholder, the representative or the natural person designated to act such position, when they act as the chairperson, supervisor, they shall comply with the preceding article and the preceding five paragraphs mutatis mutandis.The promoter of a financial holding company may not act concurrently as the promoter of other financial holding companies.If a financial holding company is converted from a financial institute, and its promoter is the shareholder of the original financial institute, the promoter is not applicable to the regulations in the preceding article, paragraph 4 and the preceding paragraph.
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條
金融控股公司之董事長不得兼任總經理。
但有下列情形之一，經主管機關核准者，不在此限：
一、董事長或總經理因離職無法繼續執行職務。
二、董事長或總經理經主管機關撤換或解任。
三、董事長或總經理發生其他重大變故，無法繼續執行職務。
金融控股公司依前項但書向主管機關申請董事長兼任總經理時，主管機關得核定最長三個月之兼任期限；金融控股公司於期限屆滿一個月前，得視需要向主管機關申請展延一次。
金融控股公司之董事長或總經理不得擔任其他非金融事業之董事長、總經理或職責相當之人。
但擔任財團法人或其他非營利之社團法人職務者，不在此限。
金融控股公司之發起人或負責人，不得擔任其他金融控股公司之負責人。
但因合併之需要，並經主管機關核准者，不在此限。
違反前四項兼職限制規定者，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。
政府或法人為股東時，其代表人或被指定代表行使職務之自然人，擔任董事、監察人者，準用前條及前五項之規定。
金融控股公司之發起人，不得兼為其他金融控股公司之發起人。
金融控股公司以金融機構轉換設立，其發起人為原金融機構股東者，不適用前條、第四項及前項之規定。
但有下列情形之一，經主管機關核准者，不在此限：
一、董事長或總經理因離職無法繼續執行職務。
二、董事長或總經理經主管機關撤換或解任。
三、董事長或總經理發生其他重大變故，無法繼續執行職務。
金融控股公司依前項但書向主管機關申請董事長兼任總經理時，主管機關得核定最長三個月之兼任期限；金融控股公司於期限屆滿一個月前，得視需要向主管機關申請展延一次。
金融控股公司之董事長或總經理不得擔任其他非金融事業之董事長、總經理或職責相當之人。
但擔任財團法人或其他非營利之社團法人職務者，不在此限。
金融控股公司之發起人或負責人，不得擔任其他金融控股公司之負責人。
但因合併之需要，並經主管機關核准者，不在此限。
違反前四項兼職限制規定者，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。
政府或法人為股東時，其代表人或被指定代表行使職務之自然人，擔任董事、監察人者，準用前條及前五項之規定。
金融控股公司之發起人，不得兼為其他金融控股公司之發起人。
金融控股公司以金融機構轉換設立，其發起人為原金融機構股東者，不適用前條、第四項及前項之規定。