Regulations Governing Required Qualifications for Responsible Persons and Required Trust Expertise or Experience for Operations and Managerial Personnel of Trust Enterprises Article 2
Under any of the following circumstances, a person may not act as the responsible person of a trust company, and shall be ipso facto discharged if the circumstance occurs after the position has been assumed:1. Having limited legal capacity, being legally incompetent, or having received a declaration of placement under assistance.2. Having been convicted of a crime under the Organized Crime Act.3. Having been sentenced to imprisonment for counterfeiting currency or valuable securities or for misappropriation, fraud, or breach of trust, and the sentence has not been completed or 10 years have not elapsed since the completion of the sentence, expiration of the probation period, or receipt of a pardon.4. Having been sentenced to imprisonment for forging instruments or seals, offenses relating to protection of secrets, usury, impairing the rights of creditors, or violating the Tax Collection Act, Trademark Act, Patent Act, or other laws governing industrial or commercial activity, and the sentence has not been completed or 5 years have not elapsed since the completion of the sentence, expiration of the probation period, or receipt of a pardon.5. Having been sentenced to imprisonment for embezzlement, and the sentence has not been completed or 5 years have not elapsed since the completion of the sentence, expiration of the probation period, or receipt of a pardon.6. Having been sentenced to imprisonment for violating the Trust Enterprise Act, Real Estate Securitization Act, Banking Act, Financial Holding Company Act, Act Governing Bills Finance Business, Financial Assets Securitization Act, Insurance Act, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Foreign Exchange Control Act, Credit Cooperatives Act, Agricultural Finance Act, Farmers’ Association Act, Fishermen’s Association Act, Money Laundering Control Act, Building Act, Architects Act, Real Estate Broking Management Act, or other laws governing financial, industrial, or commercial activity, and the sentence has not been completed or 5 years have not elapsed since the completion of the sentence, expiration of the probation period, or receipt of a pardon.7. Having been adjudicated bankrupt, and rights and privileges have not been reinstated.8. Having been the responsible person of a juristic person when it was adjudicated bankrupt, and 5 years have not elapsed since the closure of the bankruptcy or the terms of bankruptcy settlement have not yet been fulfilled.9. Having had a negotiable instrument dishonored and normal transaction status has not yet been restored, or, within 3 years after resumption of normal transactions, there is another refusal to honor the person's negotiable instrument due to insufficient funds.10. Having undergone a material loss of creditworthiness that has yet to be settled, or 3 years have not yet passed since settlement.11. Five years have not elapsed since being ipso facto discharged, or replaced or discharged from duties by order of the competent authority, due to a violation of the Trust Enterprise Act, Real Estate Securitization Act, Banking Act, Financial Holding Company Act, Act Governing Bills Finance Business, Financial Assets Securitization Act, Insurance Act, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Credit Cooperatives Act, Agricultural Finance Act, Farmers’ Association Act, Fishermen’s Association Act, Construction Industry Act, or other laws governing financial, industrial, or commercial activity.12. Having received a final and unappealable court order to undergo correction and training, or having been ordered to perform forced labor for larceny or the handling of stolen goods, and execution of the punishment has not yet been completed or 5 years have not yet passed since completion.13. The person is acting as the responsible person of a bank, financial holding company, trust company, credit cooperative, credit department of a farmers' or fishermen's association, bills finance company, securities firm, securities finance company, securities investment trust enterprise, securities investment consulting enterprise, futures commission merchant, or insurance company (including insurance agencies, insurance brokers, or insurance surveyors), provided that this restriction does not apply under the following circumstances:(1) When there is an investment relationship between the trust company and one of the above types of entities, provided that the competent authority has granted approval, and provided also that neither the position of chairman nor managerial officer at the trust company may be held concurrently with either of those same positions in the other entity, the responsible person of the trust company may act as a responsible person of one of the other entities.(2) When concurrently holding of the position of responsible person in another entity is allowed under a regulation adopted pursuant to the authorization of Article 17, paragraph 1 of the Financial Holding Company Act.14. Factual evidence shows that the person has been engaged in or involved in other dishonest or improper activities, indicating his or her unfitness to serve as the responsible person of a trust company.A person who holds the position of chairman, president, or other comparable position at a trust company may not also hold the position of chairman, president, or other comparable position at a non-finance related enterprise, provided that this restriction does not apply to holding a position at a foundation or a non-profit social organization.When the government or a juristic person is a shareholder, the provisions of the preceding two paragraphs apply mutatis mutandis to its authorized representative, or to a natural person it designates to carry out duties on its behalf, who serves as a director or supervisor.
中文原文 信託業負責人應具備資格條件暨經營與管理人員應具備信託專門學識或經驗準則第2條
有下列情事之一者，不得充任信託公司之負責人，於充任後始發生者，當然解任：
一、無行為能力、限制行為能力人或受輔助宣告之人。
二、曾犯組織犯罪防制條例規定之罪，經有罪判決確定者。
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者。
四、曾犯偽造文書、妨害秘密、重利、損害債權罪或違反稅捐稽徵法、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者。
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者。
六、違反本法、不動產證券化條例、銀行法、金融控股公司法、票券金融管理法、金融資產證券化條例、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、建築法、建築師法、不動產經紀業管理條例或其他金融、工商管理法，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者。
七、受破產之宣告，尚未復權者。
八、曾任法人宣告破產時之負責人，破產終結尚未逾五年，或協調未履行者。
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者。
十、有重大喪失債信情事尚未了結，或了結後尚未逾五年者。
十一、因違反本法、不動產證券化條例、銀行法、金融控股公司法、票券金融管理法、金融資產證券化條例、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、營造業法或其他金融、工商管理法，當然解任或經主管機關命令撤換或解任，尚未逾五年者。
十二、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者。
十三、擔任其他銀行、金融控股公司、信託公司、信用合作社、農（漁）會信用部、票券金融公司、證券公司、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（包括保險代理人、保險經紀人及保險公證人）之負責人者。
但下列情形，不在此限：
（一）信託公司與該等機構間之投資關係，並經主管機關核准者，除董事長、經理人不得互相兼任外，得擔任信託公司以外其他機構之負責人。
（二）依金融控股公司法第十七條第一項授權訂定之規定兼任者。
十四、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任信託公司負責人。
信託公司之董事長、總經理或與其職責相當之人不得擔任非金融事業之董事長、總經理或職責相當之人。
但擔任財團法人或非營利之社團法人職務者，不在此限。
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，準用前二項規定。
一、無行為能力、限制行為能力人或受輔助宣告之人。
二、曾犯組織犯罪防制條例規定之罪，經有罪判決確定者。
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者。
四、曾犯偽造文書、妨害秘密、重利、損害債權罪或違反稅捐稽徵法、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者。
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者。
六、違反本法、不動產證券化條例、銀行法、金融控股公司法、票券金融管理法、金融資產證券化條例、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、建築法、建築師法、不動產經紀業管理條例或其他金融、工商管理法，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者。
七、受破產之宣告，尚未復權者。
八、曾任法人宣告破產時之負責人，破產終結尚未逾五年，或協調未履行者。
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者。
十、有重大喪失債信情事尚未了結，或了結後尚未逾五年者。
十一、因違反本法、不動產證券化條例、銀行法、金融控股公司法、票券金融管理法、金融資產證券化條例、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、營造業法或其他金融、工商管理法，當然解任或經主管機關命令撤換或解任，尚未逾五年者。
十二、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者。
十三、擔任其他銀行、金融控股公司、信託公司、信用合作社、農（漁）會信用部、票券金融公司、證券公司、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（包括保險代理人、保險經紀人及保險公證人）之負責人者。
但下列情形，不在此限：
（一）信託公司與該等機構間之投資關係，並經主管機關核准者，除董事長、經理人不得互相兼任外，得擔任信託公司以外其他機構之負責人。
（二）依金融控股公司法第十七條第一項授權訂定之規定兼任者。
十四、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任信託公司負責人。
信託公司之董事長、總經理或與其職責相當之人不得擔任非金融事業之董事長、總經理或職責相當之人。
但擔任財團法人或非營利之社團法人職務者，不在此限。
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，準用前二項規定。