Regulations Governing Authorization and Administration of Service Enterprises Engaged in Interbank Credit Information Processing and Exchange Article 5
Anyone with any of the following condition is not eligible to take the role of the responsible person at a service enterprise engaged in interbank credit information processing and exchange, including the role of director, supervisor, president, vice president, assistant vice president, manager, assistant manager and any other positions with different titles but with the same responsibilities.1. Any person with no legal capacity or limited legal capacity or subject to the commencement of assistance and those orders have not yet been revoked.2. Any person who has received a final and unappealable conviction for violation of the provisions of the Organized Crime Prevention Act.3. Any person who has received a final and unappealable sentence to not less than imprisonment for currency counterfeiting, securities counterfeiting, embezzlement, fraud, or breach of trust, and either the prison sentence has not yet been completed or ten years have not yet elapsed since the person completed the sentence, received a suspended sentence, or was granted a pardon.4. Any person who has received a final and unappealable prison sentence for document forgery, breach of confidentiality, usury, defrauding of creditors, or a violation of the Tax Collection Law, the Trademark Law, the Patent Law, or any other regulations governing industry or commerce, and either the prison sentence has not yet been completed or five years have not yet elapsed since the person completed the sentence, received a suspended sentence, or was granted a pardon.5. Any person who has received a final and unappealable prison sentence for corruption, and either the prison sentence has not yet been completed or five years have not yet elapsed since the person completed the sentence, received a suspended sentence, or was granted a pardon.6. Any person who has received a final and unappealable prison sentence for violation of the Banking Law, the Financial Holding Company Act, the Trust Enterprise Act, the Act Governing Bills Finance Business, the Financial Assets Securitization Act, the Clauses of the Real Estate Securitization Act, the Act Governing Issuance of Electronic Stored Value Cards, the Insurance Law, the Securities and Exchange Law, the Futures Trading Law, the Securities Investment Trust and Consulting Act, the Statute for Regulation of Foreign Exchange, the Credit Cooperative Law, the Agricultural Finance Law, the Farmers Association Act, the Fishing Activities Act, the Money Laundering Prevention Law, or any other law governing financial matters, and either the prison sentence has not yet been completed or five years have not yet elapsed since the person completed the sentence, received a suspended sentence, or was granted a pardon.7. Any person who has been adjudicated bankrupt and has not yet had his or her rights reinstated.8. Any person who served as the responsible person of a juristic person at the time it was adjudicated bankrupt, where either five years have not yet elapsed since completion of the bankruptcy proceedings, or the person has failed to fulfill the terms of the bankruptcy agreement.9. Any person who has been rejected for using any bills, or has not been restored with his or her right to use the bills, or has records of insufficient deposit that leads to rejection within three years after restoring the right of using bills.10. Any person who has experienced an event causing serious loss of good credit standing and the problem remains unresolved, or five years have not yet elapsed since resolution.11. Any person who has been ordered replaced or dismissed within the past five years by the Competent Authority due to violation of the Banking Law, the Financial Holding Company Act, the Trust Enterprise Act, the Act Governing Bills Finance Business, the Financial Assets Securitization Act, the Clauses of the Real Estate Securitization Act, the Act Governing Issuance of Electronic Stored Value Cards, the Insurance Law, the Securities and Exchange Law, the Futures Trading Law, the Securities Investment Trust and Consulting Act, the Credit Cooperative Law, the Agricultural Finance Law, the Farmers Association Act, the Fishing Activities Act, or any other law governing financial matters.12. Any person who has received a final and unrepealable detention sentence for hooliganism, or has been ordered to perform forced labor for theft or the handling of stolen goods, where the term of forced labor has not yet been completed or five years have not yet elapsed since completion.13. Any person for whom there is evidence to prove that he or she has engaged or been involved in dishonest or improper activities or acts, or who does not have the ability to operate in a sound and effective manner a service enterprise engaged in interbank credit information processing and exchange, and is therefore demonstrably unfit to serve as a responsible person of a service enterprise engaged in interbank credit information processing and exchange.Where a government agency or juristic person is a shareholder, if the natural person acting as the representative or designated representative thereof serves as a director or supervisor, the provisions of the preceding paragraph shall apply mutatis mutandis. In the event that any responsible person at a service enterprise engaged in interbank credit information processing and exchange is found to have records stated in the first section, the same person should immediately notify the service enterprise and the service enterprise should take immediate action by reporting to the Competent Authority.
中文原文 銀行間徵信資料處理交換服務事業許可及管理辦法第5條
有下列情事之一者，不得充任銀行間徵信資料處理交換服務事業負責人，包括董事、監察人、總經理、副總經理、協理、經理、副經理或與其職責相當之人：
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、電子票證發行管理條例、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、電子票證發行管理條例、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、有事實證明從事或涉及其他不誠信或不正當之活動或行為或不具備健全有效經營銀行間徵信資料處理交換服務事業之能力，顯示其不適合擔任銀行間徵信資料處理交換服務事業負責人者。
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，準用前項規定。
銀行間徵信資料處理交換服務事業負責人有第一項之情事時，當事人應立即通知該服務事業。
該服務事業於知其負責人有第一項之事由後應即主動處理，並向主管機關申報。
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、電子票證發行管理條例、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、電子票證發行管理條例、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、有事實證明從事或涉及其他不誠信或不正當之活動或行為或不具備健全有效經營銀行間徵信資料處理交換服務事業之能力，顯示其不適合擔任銀行間徵信資料處理交換服務事業負責人者。
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，準用前項規定。
銀行間徵信資料處理交換服務事業負責人有第一項之情事時，當事人應立即通知該服務事業。
該服務事業於知其負責人有第一項之事由後應即主動處理，並向主管機關申報。