Regulations Governing Qualification Requirement and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of Insurance Enterprises Article 3
The responsible person of an insurance enterprise must have good moral character and must not be in any of the following situations; a responsible person to whom any of the following descriptions applies shall certainly be discharged by the Competent Authority:1.Has no legal capacity, has limited legal capacity, or is the subject to the order of commencement of assistance and such order has not been revoked.2.Has committed a crime under the Organized Crime Prevention Act, and has been found guilty by a final and unappealable judgment.3.Has previously received a final and unappealable sentence to a punishment of imprisonment for counterfeiting of currency, counterfeiting of securities, embezzlement, fraud, or breach of trust, and execution of the sentence has not started serving or been completed, or ten years have not yet passed since execution of the sentence was completed, probation expired, or pardon was granted, as the case may be.4.Has previously received a final and unappealable sentence to a punishment of not less than imprisonment for forgery, offense involving secret information, usury, impairment of creditor rights, or a violation of the Tax Collection Act, the Trademark Act, the Copyright Act, the Patent Act, or other acts or regulations governing industry and commerce, and the sentence has not started serving or has not been completed or five years have not yet elapsed since execution of the sentence was completed, probation expired, or pardon was granted, as the case may be.5. Has committed the offense as specified in the Anti-corruption Act and subsequently convicted of a crime, and has not started serving the sentence, has not completed serving the sentence, or five years have not elapsed since completion of serving the sentence, expiration of the probation, or pardon.6.Has received a final and unappealable sentence as punishment for a violation of the Act, the Banking Act, the Financial Holding Company Act, the Trust Enterprise Act, the Act Governing Bills Finance Business, the Financial Asset Securitization Act, the Real Estate Securitization Act, the Securities and Exchange Act, the Futures Trading Act, the Securities Investment Trust and Consulting Act, the Act for Regulation of Foreign Exchange, the Credit Cooperative Act, the Agricultural Finance Act, the Farmers Association Act, the Fishermen's Association Act, the Money Laundering Control Act, the Counter-Terrorism Financing Act ,or any other act governing financial matters, and the sentence has not started serving or has not yet been completed, or five years have not yet passed since execution of the sentence was completed, probation expired, or pardon was granted, as the case may be.7.Has been adjudicated bankrupt or adjudicated of the commencement of liquidation process by a court, and having not been reinstated to his rights and privileges.8.Served as a responsible person of a juristic person at the time it was declared bankrupt, where five years have not yet passed since the close of bankruptcy, or where reconciliation has not been performed.9. Has 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.Has undergone a material loss of creditworthiness that has yet to be settled or three years have not yet passed since settlement.11.The competent authority has ordered the person's replacement or discharge due to a violation of the Act, the Banking Act, the Financial Holding Company Act, the Trust Enterprise Act, the Act Governing Bills Finance Business, the Financial Asset Securitization Act, the Real Estate Securitization Act, the Securities and Exchange Act, the Futures Trading Act, the Securities Investment Trust and Consulting Act, the Credit Cooperative Act, the Agricultural Finance Act, the Farmers Association Act, the Fishermen's Association Act, or any other law governing financial matters, and five years have not yet passed since replacement or discharge.12.There is factual proof that the person has engaged in or otherwise been involved with any other dishonest or improper activities, demonstrating unsuitability to serve as a responsible person of an insurance enterprise.
中文原文 保險業負責人應具備資格條件兼職限制及應遵行事項準則第3條
保險業負責人應具備良好品德，且無下列情事之一；已充任而有下列情事之一者，主管機關應予解任：
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，經宣告有期徒刑確定，尚未執行、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、著作權法或其他工商管理法規定，經宣告有期徒刑確定，尚未執行、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、曾犯貪污治罪條例之罪，經判決有罪確定，尚未執行、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、票券金融管理法、金融資產證券化條例、不動產證券化條例、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、資恐防制法或其他金融管理法，受刑之宣告確定，尚未執行、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、受破產之宣告或經法院裁定開始清算程序，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期滿者，或期滿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、依本法、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、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、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任保險業負責人者。
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，經宣告有期徒刑確定，尚未執行、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、著作權法或其他工商管理法規定，經宣告有期徒刑確定，尚未執行、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、曾犯貪污治罪條例之罪，經判決有罪確定，尚未執行、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、票券金融管理法、金融資產證券化條例、不動產證券化條例、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、資恐防制法或其他金融管理法，受刑之宣告確定，尚未執行、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、受破產之宣告或經法院裁定開始清算程序，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期滿者，或期滿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、依本法、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、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、有事實證明從事或涉及其他不誠信或不正當之活動，顯示其不適合擔任保險業負責人者。