Financial Technology Development and Innovative Experimentation Act Article 5
Individuals and their agents mentioned in Item 1 and responsible persons and their agents mentioned in Item 2, and legal persons and their representatives mentioned in Item 3, Subparagraph 2 of the preceding article, and key managers mentioned in Item 5, Subparagraph 3 of the preceding article shall be free of any of the following circumstances:1. Any circumstance under the subparagraphs of Article 30 of the Company Act.2. Having received a final and un-appealable sentence as punishment for a violation of 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 Insurance Act, the Securities and Exchange Act, the Futures Trading Act, the Securities Investment Trust and Consulting Act, the Foreign Exchange Regulation, the Credit Cooperative Act, the Agricultural Finance Act, the Farmers Association Act, the Fishermen’s Association Act, the Money Laundering Control Act, the Act Governing Issuance of Electronic Stored Value Cards, or the Act Governing Electronic Payment Institutions, and the sentence 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.3. Having been ordered by the competent authority to be replaced or discharged of duty due to a violation of 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 Insurance 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, the Act Governing Issuance of Electronic Stored Value Cards, or the Act Governing Electronic Payment Institutions, and five years have not yet passed since the replacement or discharge.Where an individual mentioned in Item 1, a responsible person mentioned in Item 2, or a legal person and its representative mentioned in Item 3, Subparagraph 2 of the preceding article has any of the circumstances under the subparagraphs of the preceding paragraph during the period from the date the innovative experimentation is approved by the competent authority to the date the experimentation period ends, the competent authority should revoke the approval of the innovative experimentation.Where an agent mentioned in Item 1 or Item 2, Subparagraph 2 of the preceding article, or a key manager mentioned in Item 5, Subparagraph 3 of the preceding article has any of the circumstances under the subparagraphs of Paragraph 1 hereof during the period from the date the innovative experimentation is approved by the competent authority to the date the experimentation period ends, the competent authority should order the applicant to replace the agent or the manager within a given time period and revoke the approval of the innovative experimentation should the applicant fail to do so within the given time period.
中文原文 金融科技發展與創新實驗條例第5條
前條第二款第一目之自然人與其代理人、第二目之負責人與其代理人、第三目之法人與其代表人及第三款第五目之主要管理者，不得有下列情形之一：
一、公司法第三十條各款情事。
二、犯銀行法、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、農業金融法、農會法、漁會法、洗錢防制法、電子票證發行管理條例或電子支付機構管理條例所定之罪，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。
三、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、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、電子票證發行管理條例或電子支付機構管理條例，經主管機關或相關機關命令撤換、解任或解除職務，尚未逾五年者。
創新實驗自主管機關核准日起至創新實驗期間屆滿日止，前條第二款第一目之自然人、第二目之負責人、第三目之法人及其代表人有前項各款情形之一者，主管機關應廢止創新實驗之核准。
創新實驗自主管機關核准日起至創新實驗期間屆滿日止，前條第二款第一目之代理人、第二目之代理人及第三款第五目之主要管理者有第一項各款情形之一者，主管機關得命申請人限期更換之；屆期未更換者，主管機關應廢止創新實驗之核准。
一、公司法第三十條各款情事。
二、犯銀行法、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、農業金融法、農會法、漁會法、洗錢防制法、電子票證發行管理條例或電子支付機構管理條例所定之罪，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。
三、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、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、電子票證發行管理條例或電子支付機構管理條例，經主管機關或相關機關命令撤換、解任或解除職務，尚未逾五年者。
創新實驗自主管機關核准日起至創新實驗期間屆滿日止，前條第二款第一目之自然人、第二目之負責人、第三目之法人及其代表人有前項各款情形之一者，主管機關應廢止創新實驗之核准。
創新實驗自主管機關核准日起至創新實驗期間屆滿日止，前條第二款第一目之代理人、第二目之代理人及第三款第五目之主要管理者有第一項各款情形之一者，主管機關得命申請人限期更換之；屆期未更換者，主管機關應廢止創新實驗之核准。