Regulations Governing Approval and Administration of Financial Information Service Enterprises Engaging in Inter-Financial Institution Funds Transfer and Settlement Article 5
Anyone with any of the following condition is not eligible to take the role of the responsible person at an interbank financial information network enterprise, including its promoter, director, supervisors, president, vice president, assistant vice president, manager, assistant manager or any other person with equivalent responsibilities:1. Having limited legal capacity or is legally incompetent or subject to the commencement of assistance and those orders have not yet been revoked.2. Having been convicted of a crime under the Organized Crime Act.3. Having been sentenced to imprisonment for counterfeiting currency or valuable securities, misappropriation, fraud or breach of trust and the sentence has not been completed or ten (10) years have not elapsed since the date of sentence completion, the expiration of probation period, or the pardon of such punishment.4. Having been sentenced to imprisonment for forging instruments or seals, offence against privacy, usury, impairing the rights of creditors or violating the Company Act, Telecommunication Act, Tax Collection Act, Trademark Act, Patent Act or other laws governing industrial or commercial activity and the sentence has not been completed or five (5) years have not elapsed since the date of sentence completion, the expiration of probation period, or the pardon of such punishment.5. Having been sentenced to imprisonment for embezzlement and the sentence has not been completed or five (5) years have not lapsed since the date of sentence completion, the expiration of probation period, or the pardon of such punishment.6. Violated The Banking Act, Financial Holding Company Act, Trust Enterprise Act, The Act Governing Bills Finance Business, Financial Assets Securitization Act, Clauses of the Real Estate Securitization Act, Act Governing Issuance of Electronic Stored Value Cards, Insurance Law, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Foreign Exchange Control Act, The Credit Cooperatives Act Of The Republic Of China, Agricultural Finance Law, The Farmers Association Act, The Fishermen Association Act, Money Laundering Control Act or other financial management laws. The person has been indicted and has or has not completed his or her legal obligation with pertinent punishment, pending for punishment or exempted from punishment for less than five(5) years.7. Having been adjudicated bankrupt, and rights and privileges have not been reinstated.8. Having been the responsible person of a legal entity at the time such legal entity was adjudicated bankrupt and five (5) years have not elapsed since the closure of the bankruptcy or the terms of bankruptcy settlement have not yet been fulfilled.9. Having been denied service by the bills clearing house and the denial status has yet to be removed, or there remains a record of dishonored check(s) due to insufficient funds in three (3) years since the denial status has been removed.10. Having been in arrears for six months or longer on repayment of loan principal or interest within the past three (3) years and remains in arrears.11. Having an ongoing event that seriously damages his or her credit worthiness or five (5) years have not elapsed since the closure of such an event.12. In less than past five(5) years, the person has a record of revoking responsibility of unemployment by the Competent Authority as a result of violating The Banking Act, Financial Holding Company Act, Trust Enterprise Act, The Act Governing Bills Finance Business, Financial Assets Securitization Act, Clauses of the Real Estate Securitization Act, Act Governing Issuance of Electronic Stored Value Cards, Insurance Law, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act , The Credit Cooperatives Act Of The Republic Of China , Agricultural Finance Law, The Farmers Association Act, The Fishermen Association Act, or other financial management laws.13. Having been ordered to enter a reformatory or having been ordered to perform compulsory labor due to the offense of larceny or receiving stolen property and the sentence has not been completed or five (5) years have not elapsed since the sentence completion.14. Acting as the responsible person of another bank, credit cooperative, credit department of a farmers' (fishermen's) association, bills finance company, securities firm, securities finance company, securities investment trust enterprise, securities investment consulting enterprise, futures company or insurance company (excluding insurance agencies or brokerages); the preceding provision does not apply if it is otherwise approved by the Competent Authority.15. Factual evidence shows that the person has engaged in, or been involved in, other dishonest or improper activities, lacks the ability to operate in a sound and effective manner an interbank financial information network enterprise, and is therefore demonstrably unfit to serve as a responsible person of an interbank financial information network enterprise.Where the government or a corporate shareholder acts as a director or a supervisor, the provisions of the preceding paragraph apply mutatis mutandis to any authorized representative, or to any natural person appointed to exercise in its behalf the duties of its position.In the event that any responsible person at an interbank financial information network enterprise is found to have records stated in the first section, the same person should immediately notify the enterprise and the enterprise should take immediate action by reporting to the the Competent Authority.
中文原文 金融機構間資金移轉帳務清算之金融資訊服務事業許可及管理辦法第5條
有下列情事之一者，不得充任跨行金融資訊網路事業負責人，包括發起人、董事、監察人、總經理、副總經理、協理、經理、副經理或與其職責相當之人：
一、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
二、曾犯組織犯罪防制條例規定之罪，經有罪判決確定。
三、曾犯偽造貨幣、偽造有價證券、侵占、詐欺、背信罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾十年。
四、曾犯偽造文書、妨害秘密、重利、損害債權罪或違反公司法、電信法、稅捐稽徵法、商標法、專利法或其他工商管理法規定，經宣告有期徒刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
五、曾犯貪污罪，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
六、違反銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、電子票證發行管理條例、保險法、證券交易法、期貨交易法、證券投資信託及顧問法、管理外匯條例、信用合作社法、農業金融法、農會法、漁會法、洗錢防制法或其他金融管理法，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
七、受破產之宣告，尚未復權。
八、曾任法人宣告破產時之負責人，破產終結尚未逾五年，或調協未履行。
九、使用票據經拒絕往來尚未恢復往來者，或恢復往來後三年內仍有存款不足退票紀錄。
十、過去三年內在金融機構之授信，有六個月以上延滯本金或利息之紀錄，且尚未清償。
十一、有重大喪失債信情事尚未了結、或了結後尚未逾五年。
十二、因違反銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、電子票證發行管理條例、保險法、證券交易法、期貨交易法、證券投資信託及顧問法、信用合作社法、農業金融法、農會法、漁會法或其他金融管理法，經主管機關命令撤換或解任，尚未逾五年。
十三、受感訓處分之裁定確定或因犯竊盜、贓物罪，受強制工作處分之宣告，尚未執行完畢，或執行完畢尚未逾五年。
十四、擔任銀行、信用合作社、農（漁）會信用部、票券金融公司、證券商、證券金融公司、證券投資信託公司、證券投資顧問公司、期貨商或保險業（不包括保險輔助人）之負責人。
但經主管機關核准者，不在此限。
十五、有事實證明從事或涉及其他不誠信或不正當之活動或行為或不具備健全有效經營跨行金融資訊網路事業之能力，顯示其不適合擔任跨行金融資訊網路事業負責人。
政府或法人股東，擔任董事、監察人者，其代表人或被指定代表行使職務之自然人，準用前項規定。
跨行金融資訊網路事業負責人有第一項之情事時，當事人應立即通知該事業。
該事業於知其負責人有第一項之事由後應即主動處理，並向主管機關申報。
一、無行為能力、限制行為能力或受輔助宣告尚未撤銷。
二、曾犯組織犯罪防制條例規定之罪，經有罪判決確定。
三、曾犯偽造貨幣、偽造有價證券、侵占、詐欺、背信罪，經宣告有期徒刑以上之刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾十年。
四、曾犯偽造文書、妨害秘密、重利、損害債權罪或違反公司法、電信法、稅捐稽徵法、商標法、專利法或其他工商管理法規定，經宣告有期徒刑確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
五、曾犯貪污罪，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
六、違反銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、電子票證發行管理條例、保險法、證券交易法、期貨交易法、證券投資信託及顧問法、管理外匯條例、信用合作社法、農業金融法、農會法、漁會法、洗錢防制法或其他金融管理法，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿或赦免後尚未逾五年。
七、受破產之宣告，尚未復權。
八、曾任法人宣告破產時之負責人，破產終結尚未逾五年，或調協未履行。
九、使用票據經拒絕往來尚未恢復往來者，或恢復往來後三年內仍有存款不足退票紀錄。
十、過去三年內在金融機構之授信，有六個月以上延滯本金或利息之紀錄，且尚未清償。
十一、有重大喪失債信情事尚未了結、或了結後尚未逾五年。
十二、因違反銀行法、金融控股公司法、信託業法、票券金融管理法、金融資產證券化條例、不動產證券化條例、電子票證發行管理條例、保險法、證券交易法、期貨交易法、證券投資信託及顧問法、信用合作社法、農業金融法、農會法、漁會法或其他金融管理法，經主管機關命令撤換或解任，尚未逾五年。
十三、受感訓處分之裁定確定或因犯竊盜、贓物罪，受強制工作處分之宣告，尚未執行完畢，或執行完畢尚未逾五年。
十四、擔任銀行、信用合作社、農（漁）會信用部、票券金融公司、證券商、證券金融公司、證券投資信託公司、證券投資顧問公司、期貨商或保險業（不包括保險輔助人）之負責人。
但經主管機關核准者，不在此限。
十五、有事實證明從事或涉及其他不誠信或不正當之活動或行為或不具備健全有效經營跨行金融資訊網路事業之能力，顯示其不適合擔任跨行金融資訊網路事業負責人。
政府或法人股東，擔任董事、監察人者，其代表人或被指定代表行使職務之自然人，準用前項規定。
跨行金融資訊網路事業負責人有第一項之情事時，當事人應立即通知該事業。
該事業於知其負責人有第一項之事由後應即主動處理，並向主管機關申報。