Regulations Governing Approval and Administration of Short-term Bills Clearing and Depository Organizations Article 42
A person having any of the following situations may not act as a promoter or responsible person of a short-term bills clearing and depository organization: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, the Banking Act, the Insurance Act, the Securities and Exchange Act, the Futures Trading Act, the Foreign Exchange Regulation Act, the Credit Cooperatives Act, the Trust Enterprise Act, the 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 orthe 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 ordischarged from duties by order of the competent authority due to a violation of the Act, the Banking Act, the Insurance Act, the Securities and Exchange Act, the Futures Trading Act, the Credit Cooperative Act, the Trust Enterprise Act, the 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 or employee of a participant.However, this restriction shall not apply where the person is authorized by the competent authority or where a participant, through its investments, assigns its responsible person or employee to serve as a director or supervisor of the short-term bills clearing and depository organization.14.Factual evidence shows that the person has engaged in, or been involved in, other dishonest or improper activities.If the director or supervisor is a juridical person , the representative or the natural person designated to act such position, they shall comply with the preceding paragraph regulations.The responsible person of a short-term bills clearing and depository organization shall be dismissed ipso facto if any of the conditions in Paragraph 1 occurs after the start of his/her tenure. The person shall also be required to notify the short-term bills clearing and depository organization immediately.The short-term bills clearing and depository organization shall immediately take active measures after learning of the reason for the ipso facto dismissal of its responsible person. It shall report to the competent authority and notifythe Ministry of Economic Affairs to annul or cancel related registration.
中文原文 短期票券集中保管結算機構許可及管理辦法第42條
短期票券集中保管結算機構之發起人及負責人，不得有下列情事之一：
一、無行為能力或限制行為能力。
二、曾犯組織犯罪防制條例規定之罪，經判決有罪確定。
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、緩刑期滿且未經撤銷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、緩刑期滿且未經撤銷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、緩刑期滿且未經撤銷或赦免後尚未逾五年。
六、違反本法、銀行法、保險法、證券交易法、期貨交易法、管理外匯條例、信用合作社法、信託業法、洗錢防制法或其他金融法規，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿且未經撤銷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，或經調協未履行。
九、使用票據經拒絕往來尚未恢復往來，或恢復往來後三年內仍有存款不足退票紀錄。
十、有重大喪失債信情事尚未了結、或了結後尚未逾五年。
十一、因違反本法、銀行法、保險法、證券交易法、期貨交易法、信用合作社法、信託業法、洗錢防制法或其他金融法規，經主管機關命令撤換或解任，尚未逾五年。
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。
十三、擔任參加人之負責人或職員。
但經主管機關核准，或參加人因投資關係，指派其負責人或職員擔任短期票券集中保管結算機構之董事或監察人者，不在此限。
十四、有事實證明從事或涉及其他不誠信或不正當之活動。
董事或監察人為法人者，其代表人或被指定代表行使職務之自然人，準用前項規定。
短期票券集中保管結算機構負責人於充任後始發生第一項各款情事之一者，當然解任，當事人並應立即通知短期票券集中保管結算機構。
短期票券集中保管結算機構知其負責人有當然解任事由後，應立即主動處理，並向主管機關申報及通知經濟部廢止或撤銷其相關登記事項。
一、無行為能力或限制行為能力。
二、曾犯組織犯罪防制條例規定之罪，經判決有罪確定。
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、緩刑期滿且未經撤銷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、緩刑期滿且未經撤銷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、緩刑期滿且未經撤銷或赦免後尚未逾五年。
六、違反本法、銀行法、保險法、證券交易法、期貨交易法、管理外匯條例、信用合作社法、信託業法、洗錢防制法或其他金融法規，受刑之宣告確定，尚未執行完畢，或執行完畢、緩刑期滿且未經撤銷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，或經調協未履行。
九、使用票據經拒絕往來尚未恢復往來，或恢復往來後三年內仍有存款不足退票紀錄。
十、有重大喪失債信情事尚未了結、或了結後尚未逾五年。
十一、因違反本法、銀行法、保險法、證券交易法、期貨交易法、信用合作社法、信託業法、洗錢防制法或其他金融法規，經主管機關命令撤換或解任，尚未逾五年。
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。
十三、擔任參加人之負責人或職員。
但經主管機關核准，或參加人因投資關係，指派其負責人或職員擔任短期票券集中保管結算機構之董事或監察人者，不在此限。
十四、有事實證明從事或涉及其他不誠信或不正當之活動。
董事或監察人為法人者，其代表人或被指定代表行使職務之自然人，準用前項規定。
短期票券集中保管結算機構負責人於充任後始發生第一項各款情事之一者，當然解任，當事人並應立即通知短期票券集中保管結算機構。
短期票券集中保管結算機構知其負責人有當然解任事由後，應立即主動處理，並向主管機關申報及通知經濟部廢止或撤銷其相關登記事項。