Regulations Governing Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of Electronic Stored Value Card Issuers Article 4
A person having any of the following situations may not act as the responsible person of an issuer:1. Having limited legal capacity or is legally incompetent.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, Act Governing Bills Finance Business, Financial Assets Securitization Act, Real Estate Securitization Act, Insurance Act, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Foreign Exchange Control Act, Credit Cooperatives Act, Farmers’ Association Act, Fishermen’s Association Act, Agricultural Finance Act, Money Laundering Control Act or other laws governing 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. Being 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 violation of the Act, Banking Act, Financial Holding Company Act, Trust Enterprise Act, Act Governing Bills Finance Business, Financial Assets Securitization Act, Real Estate Securitization Act, Insurance Law, Securities and Exchange Act, Futures Trading Act, Securities Investment Trust and Consulting Act, Credit Cooperatives Act, Farmers’ Association Act, Fishermen’s Association Act, Agricultural Finance Act, or other laws governing 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. 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 an issuer.In the event that the government or a juristic person is a shareholder (of an issuer), the preceding paragraph shall apply mutatis mutandis to its authorized representative or other individual(s) designated by it to serve as a director or a supervisor on its behalf.If any of the situations mentioned in Paragraph 1 hereof occurs after the responsible person of an issuer takes office, the responsible person shall, ipso facto, be discharged from the office.
中文原文 電子票證發行機構負責人兼職限制及應遵行事項準則第4條
有下列情事之一者，不得充任發行機構之負責人：
一、無行為能力或限制行為能力者。
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，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、違反本條例、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、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、農會法、漁會法、農業金融法、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、因違反本條例、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、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、農會法、漁會法、農業金融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、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任發行機構之負責人者。
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，準用前項之規定。
發行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。
一、無行為能力或限制行為能力者。
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，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、違反本條例、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、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、農會法、漁會法、農業金融法、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、因違反本條例、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、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、農會法、漁會法、農業金融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、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任發行機構之負責人者。
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，準用前項之規定。
發行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。