Regulations Governing Qualification Requirement and Concurrent Serving Restrictions and Matters for Compliance by the Responsible Persons of Insurance Enterprises Article 4
The chairperson of an insurance enterprise may not serve concurrently as its general manager. The preceding provision does not apply in the following circumstances, subject to the approval of the competent authority:1.The general manager leaves job or becomes unable to continue the performance of his/her duties due to some material unforeseen event and there is no eligible candidate who meets the qualification requirements set forth in Article 7, paragraph 2 herein to take his or her place.2.The general manager is discharged from his or her position by order of the competent authority pursuant to Article 149, paragraph 1, subparagraph 4 of the Act for regulatory violation, and there is no eligible candidate who meets the qualification requirements set forth in Article 7, paragraph 2 herein to take his or her place.3.The general manager is deemed by the competent authority to be in other situations similar to that in the preceding two subparagraphs and there is no eligible candidate who meets the qualification requirements set forth in Article 7, paragraph 2 herein to take his or her place.When an insurance enterprise applies to the competent authority for its chairperson to serve concurrently as its general manager pursuant to the proviso in the preceding paragraph, the competent authority may grant the holding of concurrent positions for a maximum period of three months. If necessary, the insurance enterprise may apply to the competent authority for one extension one month before the end of the three-month period. However if its chairperson does not meet the qualifications set forth in Article 7, paragraph 2, the insurance enterprise is not allowed to apply for an extension.Is serving as a responsible person of another insurance enterprise or a financial holding company, bank, trust company, credit cooperative, the credit department of a farmers' (fishermen's) association, bills finance company, securities company, securities finance company, securities investment trust enterprise, securities investment consulting enterprise, or futures commission merchant. However, this restriction shall not apply under any of the following circumstances:1.The position arises from an investment relationship between the insurance enterprise and the institution in question, and no one serves as board chairperson or as a manager of both enterprises concurrently, and the competent authority has granted approval.2.Where the insurance enterprise is a subsidiary of a financial holding company, its responsible persons may serve concurrently as responsible persons of said financial holding company or of another of its subsidiaries, provided that a person may not serve concurrently as a manager of more than one subsidiary.3.Where the insurance enterprise is a juristic-person director or a juristic-person supervisor of a financial holding company, its responsible persons may, by virtue of their position as responsible persons of the holding company, serve concurrently as responsible persons of a subsidiary of the holding company, provided that the positions in which such persons may serve for the holding company's subsidiary are limited to director or supervisor.4.It is necessary for either facilitation of a merger or to deal with a problem insurance enterprise and has been approved by the competent authority.The chairperson or general manager of an insurance enterprise, or a person holding a comparable position shall not serve as the chairperson or general manager or hold a comparable position at an non-insurance-related business. However, the preceding paragraph does not apply to holding a position at a foundation or a non-profit social organization.When the person violates the four preceding restrictions, the competent authority shall order the insurance erterprise to make adjustment within a prescribed period of time; the person shall be dismissed when the insurance enterprise fails to adjust within the time period and without justifiable reason.Where the government or a juristic person is a shareholder, the provisions of the preceding article and the preceding five paragraphs apply mutatis mutandis to any authorized representative, or to any natural person appointed to exercise in its behalf the duties of its position, who is to act as a director (or trustee) or supervisor.
中文原文 保險業負責人應具備資格條件準則第4條
保險業董（理）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、總經理離職或發生重大變故無法繼續執行職務，且無符合第七條第二項資格之人選可代行其職務。
二、保險業違反法令，經主管機關依本法第一百四十九條第一項第四款命令解除總經理職務，且無符合第七條第二項資格之人選可代行其職務。
三、其他經主管機關認定與前二款情節相當，且無符合第七條第二項資格之人選可代行其職務。
保險業依前項但書向主管機關提出以董（理）事長兼任總經理之申請，主管機關得核定最長三個月之兼任期限；保險業於期限屆滿一個月前，得視需要向主管機關申請展延一次。
但保險業董（理）事長未具有第七條第二項資格者，不得申請展延。
保險業負責人不得兼任其他保險業、金融控股公司、銀行、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、證券投資顧問公司或期貨商之負責人。
但下列情形，不在此限：
一、因保險業與該等機構間之投資關係，且無董（理）事長、經理人互相兼任情事，並經主管機關核准。
二、保險業為金融控股公司之子公司；其負責人得兼任該控股公司或其他子公司之負責人。
但子公司間不得有經理人互相兼任之情事。
三、保險業為金融控股公司之法人董事、法人監察人；其負責人因擔任該控股公司之負責人，得兼任該控股公司子公司之負責人。
但兼任該控股公司子公司職務以董事、監察人為限。
四、為進行合併或處理問題保險業之需要，經主管機關核准。
保險業之董（理）事長、總經理或與其職責相當之人不得擔任非保險相關事業之董（理）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、總經理離職或發生重大變故無法繼續執行職務，且無符合第七條第二項資格之人選可代行其職務。
二、保險業違反法令，經主管機關依本法第一百四十九條第一項第四款命令解除總經理職務，且無符合第七條第二項資格之人選可代行其職務。
三、其他經主管機關認定與前二款情節相當，且無符合第七條第二項資格之人選可代行其職務。
保險業依前項但書向主管機關提出以董（理）事長兼任總經理之申請，主管機關得核定最長三個月之兼任期限；保險業於期限屆滿一個月前，得視需要向主管機關申請展延一次。
但保險業董（理）事長未具有第七條第二項資格者，不得申請展延。
保險業負責人不得兼任其他保險業、金融控股公司、銀行、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、證券投資顧問公司或期貨商之負責人。
但下列情形，不在此限：
一、因保險業與該等機構間之投資關係，且無董（理）事長、經理人互相兼任情事，並經主管機關核准。
二、保險業為金融控股公司之子公司；其負責人得兼任該控股公司或其他子公司之負責人。
但子公司間不得有經理人互相兼任之情事。
三、保險業為金融控股公司之法人董事、法人監察人；其負責人因擔任該控股公司之負責人，得兼任該控股公司子公司之負責人。
但兼任該控股公司子公司職務以董事、監察人為限。
四、為進行合併或處理問題保險業之需要，經主管機關核准。
保險業之董（理）事長、總經理或與其職責相當之人不得擔任非保險相關事業之董（理）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。