Regulations Governing Qualification Requirements and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of Banks Article 3-1
The chairperson of a bank may not act concurrently as the 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.When a bank applies for its chairperson to act as the general manager pursuant to the proviso of the preceding paragraph to the competent authority, the competent authority is allowed to ratify a maximum of three months for concurrent positions. The bank should apply for one extension, if needed, to the competent authority one month before the end of the period.A responsible person of a bank should not act concurrently as a responsible person of other banks, financial holding companies, trust companies, credit cooperatives, credit department of an agriculture (fishery) association, bills finance companies, securities companies, securities finance companies, securities investment trust companies, securities investment consulting companies, futures companies or insurance companies (excluding insurance auxiliaries). This restriction shall not apply, however, in any of the following circumstances:1. If the bank and the above mentioned institution have investment relations and their chairpersons and managers have not taken concurrent positions, they are allowed to act the directors, supervisors of other banks, or as the responsible persons of other institutions besides the banking business. However, they should obtain the permission from the competent authority if they act as the directors, supervisors of other banks.2. To facilitate merges or handle the needs of a difficulty financial institution, they are allowed to act as the chairpersons of such institution with the prior permission from the competent authority. However, where the concurrently held position(s) exists in between, the banks should maintain their investment relations.3. Where the bank is the corporate director, supervisor of the financial holding company, if the responsible person is the responsible person of the holding company; further, the bank and the subsidiary company of the holding company has no facts that their chairpersons and managers take each other's concurrent positions, the person is allowed to act concurrently as the responsible person of the subsidiary company of the holding company. However, the concurrent position with the banking subsidiary company of the holding company is subject to director and supervisor, with a prior permission from the competent authority.4. The bank is the shareholder of the financial holding company and there is no concurrently held position(s) in between, the responsible person of a bank is allowed to act concurrently as the director, supervisor of the subsidiary company of the holding company. However, the concurrent position with the banking subsidiary company of the holding company is subject to director and supervisor, with a prior permission from the competent authority.5. The bank is the subsidiary company of the financial holding company and there is no concurrently held position(s) in between, the responsible person of a bank is allowed to act concurrently as the responsible person of the holding company、the subsidiary company of the holding company and the offshore investee company of the holding company and its subsidiary company. However, the following concurrent positions shall require the approval of the competent authority:(1)The concurrent position with the banking subsidiary company of the holding company is subject to director and supervisor, with a prior permission from the competent authority.(2)The chairperson is allowed to act concurrently as the chairperson of another subsidiary of the holding company during a certain period of time as necessitated to facilitate a business merger or organizational restructuring for purposes of enhancing overall operating effectiveness and efficiency.The chairperson or general manager of a bank is not allowed to act as the chairperson, general manager or equivalent titles of other non-financial enterprises. However, the person is not subject to the restrictions if the person takes a position of a corporate or non-profit corporate.When the person violates the four preceding restrictions, the competent authority shall order the bank to make adjustment within a prescribed period of time; the person shall be dismissed when the bank fails to adjust within the time period and without justifiable reason.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 chairperson, supervisor, they shall comply with the preceding five regulations.
中文原文 銀行負責人應具備資格條件兼職限制及應遵行事項準則第3-1條
銀行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。
銀行依前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；銀行於期限屆滿一個月前，得視需要向主管機關申請展延一次。
銀行負責人不得兼任其他銀行、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（不包括保險輔助人）之負責人。
但下列情形，不在此限：
一、因銀行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，得擔任其他銀行之董事、監察人或銀行以外其他機構之負責人。
但擔任其他銀行之董事、監察人者，應經主管機關核准。
二、為進行合併或處理問題金融機構之需要，經主管機關核准者，得擔任該等機構之董事長。
但兼任其他銀行董事長者，該二銀行間仍應具備投資關係。
三、銀行為金融控股公司之法人董事、監察人者，其負責人因擔任該控股公司之負責人，且銀行與該控股公司子公司無董事長、經理人互相兼任情事，得兼任該控股公司子公司之負責人。
但兼任該控股公司銀行子公司職務以董事、監察人為限，且應經主管機關核准。
四、銀行為金融控股公司之股東，且與該控股公司子公司無董事長、經理人互相兼任情事，銀行負責人得兼任該控股公司子公司之董事、監察人。
但兼任該控股公司銀行子公司之董事、監察人者，應經主管機關核准。
五、銀行為金融控股公司之子公司，且與該控股公司其他子公司無董事長、經理人互相兼任情事，銀行負責人得兼任該控股公司、該控股公司其他子公司，及該等公司轉投資之境外公司負責人。
但下列兼任行為，應經主管機關核准：
（一）兼任該控股公司其他銀行子公司之職務，以董事、監察人為限。
（二）為進行合併或組織改造以提升綜合經營效益需要，或其他特殊因素需要，董事長得於一定期間內兼任該控股公司其他子公司之董事長。
銀行之董事長或總經理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。
違反前四項兼職限制規定者，主管機關得限期命其調整；無正當理由屆期未調整者，應予解任。
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（理）事、監察人（監事）者，準用前條及前五項規定。
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。
銀行依前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；銀行於期限屆滿一個月前，得視需要向主管機關申請展延一次。
銀行負責人不得兼任其他銀行、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（不包括保險輔助人）之負責人。
但下列情形，不在此限：
一、因銀行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，得擔任其他銀行之董事、監察人或銀行以外其他機構之負責人。
但擔任其他銀行之董事、監察人者，應經主管機關核准。
二、為進行合併或處理問題金融機構之需要，經主管機關核准者，得擔任該等機構之董事長。
但兼任其他銀行董事長者，該二銀行間仍應具備投資關係。
三、銀行為金融控股公司之法人董事、監察人者，其負責人因擔任該控股公司之負責人，且銀行與該控股公司子公司無董事長、經理人互相兼任情事，得兼任該控股公司子公司之負責人。
但兼任該控股公司銀行子公司職務以董事、監察人為限，且應經主管機關核准。
四、銀行為金融控股公司之股東，且與該控股公司子公司無董事長、經理人互相兼任情事，銀行負責人得兼任該控股公司子公司之董事、監察人。
但兼任該控股公司銀行子公司之董事、監察人者，應經主管機關核准。
五、銀行為金融控股公司之子公司，且與該控股公司其他子公司無董事長、經理人互相兼任情事，銀行負責人得兼任該控股公司、該控股公司其他子公司，及該等公司轉投資之境外公司負責人。
但下列兼任行為，應經主管機關核准：
（一）兼任該控股公司其他銀行子公司之職務，以董事、監察人為限。
（二）為進行合併或組織改造以提升綜合經營效益需要，或其他特殊因素需要，董事長得於一定期間內兼任該控股公司其他子公司之董事長。
銀行之董事長或總經理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。
違反前四項兼職限制規定者，主管機關得限期命其調整；無正當理由屆期未調整者，應予解任。
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（理）事、監察人（監事）者，準用前條及前五項規定。