Regulations Governing the Responsible Persons and Business Staff Members of Bills Houses Article 4
A person having any of the following situations may not act as a responsible person of a bills finance company, and shall be ipso facto discharged if the situation occurs after such person has taken office:1.Having limited legal capacity, is legally incompetent, or having been declared by a court to be under assistance and such declaration has not been voided.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 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.Having been sentenced to imprisonment for violating the Act, Banking Act, Financial Holding Company Act, Trust Enterprise Act, Financial Assets Securitization Act, Real Estate Securitization Act, Insurance Law, 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 or other laws regulating financial 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.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 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.11.Five (5) years have not elapsed since being replaced or discharged from duties by order of the competent authority due to a violation of the Act, Banking Act, Financial Holding Company Act, Trust Enterprise Act, Financial Assets Securitization Act, Real Estate Securitization Act, Insurance Law, 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 or other laws regulating financial activity.12.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.13.Acting as the responsible person of a bills finance company, bank, financial holding company, trust company, credit cooperative, credit department of a farmers' (fishermen's) association, securities firm, securities finance company, securities investment trust enterprise, securities investment consulting enterprise, futures commission merchant or insurance company (excluding insurance agency, insurance brokerage, and insurance surveyor); provided that the restriction does not apply to the following: (1)Where it is for purposes of an investment relationship between the bills finance company and such institutions, and there is no overlapping of the chairmen and/or managerial officers thereof, and the concurrent position has been approved by the competent authority.(2)Where it is for purposes of merging or administering a distressed financial institution and an investment relationship exists between the bills finance company and the [problem] institution, the responsible person of a bills finance company may serve as the chairman of such institution.(3)The concurrent position of responsible person in another entity is allowed under the Regulations Governing Qualification Requirements for Responsible Persons of a Financial Holding Company and their Holding of Concurrent Positions in Subsidiaries. 14.Factual evidence shows that the person has engaged in, or been involved in, other dishonest or improper activities which indicate that she/he is unfit to serve as a responsible person of a bills finance company.The chairperson of a bills finance company may not act 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 obtained the permission from 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.A person should be dismissed if the person violates the three preceding restrictions.When a bills finance company applies for its chairperson to act as the general manager pursuant to Paragraph 2 to the competent authority, the competent authority is allowed to ratify a maximum of three months for concurrent positions. The bills finance company may apply for one extension, if needed, to the competent authority one month before the end of the period.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 president, supervisor, they shall comply with the preceding four regulations.
中文原文 票券商負責人及業務人員管理規則第4條
有下列情事之一者，不得充任票券金融公司之負責人，於充任後始發生者，應予解任：
一、無行為能力、限制行為能力或受輔助宣告尚未撤銷者。
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、銀行法、金融控股公司法、信託業法、金融資產證券化條例、不動產證券化條例、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，或經調協未履行者。
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、銀行法、金融控股公司法、信託業法、金融資產證券化條例、不動產證券化條例、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、擔任他票券金融公司、銀行、金融控股公司、信託公司、信用合作社、農（漁）會信用部、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（不包括保險代理人、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）因票券金融公司與該等機構間之投資關係，且無董事長、經理人互相兼任情事，並經主管機關核准者。
（二）為進行合併或處理問題金融機構之需要，且具有投資關係，經主管機關核准者，得擔任該等金融相關事業之董事長。
（三）依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，顯示其不適合擔任票券金融公司負責人者。
票券金融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。
違反前項兼職限制規定者，應予解任。
票券金融公司依第二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；票券金融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。
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，準用前四項規定。
一、無行為能力、限制行為能力或受輔助宣告尚未撤銷者。
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、銀行法、金融控股公司法、信託業法、金融資產證券化條例、不動產證券化條例、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，或經調協未履行者。
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、銀行法、金融控股公司法、信託業法、金融資產證券化條例、不動產證券化條例、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、擔任他票券金融公司、銀行、金融控股公司、信託公司、信用合作社、農（漁）會信用部、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（不包括保險代理人、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）因票券金融公司與該等機構間之投資關係，且無董事長、經理人互相兼任情事，並經主管機關核准者。
（二）為進行合併或處理問題金融機構之需要，且具有投資關係，經主管機關核准者，得擔任該等金融相關事業之董事長。
（三）依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，顯示其不適合擔任票券金融公司負責人者。
票券金融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。
違反前項兼職限制規定者，應予解任。
票券金融公司依第二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；票券金融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。
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，準用前四項規定。