| Article 33 |
A trust enterprise applying to concurrently operate a futures trust enterprise shall meet the following qualifications:
1. The CPA-audited and attested financial report for the most recent period shows a net worth per share not lower than par value.
2. Has not, during the last half year, been sanctioned under Article 100, paragraph 1, subparagraph 1of the Act, Article 103, subparagraph 1 of the Securities Investment Trust and Consulting Act, or Article 66, subparagraph 1 of the Securities and Exchange Act, and has not on three or more occasions been given an official reprimand and ordered to take corrective action within a specified period of time under Article 44, paragraph 1, subparagraph 1 of the Trust Enterprise Act.
3. Has not been sanctioned under Article 100, paragraph 1, subparagraphs 2 to 4 of the Act, Article 103, subparagraphs 2 to 5 of the Securities Investment Trust and Consulting Act, Article 66, subparagraphs 2 to 4 of the Securities and Exchange Act, or Article 44, paragraph 1, subparagraph 2 or paragraph 2, subparagraph 1 or 2 of the Trust Enterprise Act during the last 2 years.
If a trust enterprise that has been sanctioned under subparagraph 2 or 3 of the preceding paragraph and has been ordered by the competent authority to make corrections but has not yet made concrete corrections as of the time it applies to concurrently operate a futures trust enterprise, the competent authority may deny the permission that is being applied for. |
| Article 34 |
|
| Article 35 |
|
| Article 36 |
|
| Article 37 |
|
| Article 38 |
|
| Article 39 |
|
| Article 40 |
|