函釋

發文單位: 財政部證券管理委員會
發文字號: (78)台財證(三)字第 00012 號
發文日期: 民國 78 年 01 月 06 日
相關法條:
  • 證券交易法 第 18、18-1、54 條 (077.01.29)
  • 證券交易法施行細則 第 9 條 (077.08.06)
  • 要  旨:
    請於證券投資信託、顧問事業業務人員到職 (或離職) 之日起五日內填具
    證券投資信託、顧問事業業務人員登記表向財政部證券管理委員會申報

    主    旨:請依本會 (77) 台財證 (三) 第○九五六四號函於七十八年元月底以前,
              填具證券投資信託、顧問事業業務人員登記表,並請於該人員到職 (或離
              職) 之日起五日內按時向本會申報,請  查照。
    說    明:依證券交易法第十八條、第十八條之一、第五十四條及證券交易法施行細
              則第九條規定辦理。
    附    件:
    附表一:
          ┌───────────────────────────────┐
          │          信託                      中華民國    年    月    日│第
          │  證券投資    事業業務人員  登記表                            │一
          │          顧問                              字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │申請│                    │登記│            │擔任│        │申
          │機構│                    │職稱│            │工作│        │請
          ├──┼─┬──┬─┬───┼──┼───┬──┴┬─┴┬───┤機
          │姓名│  │性別│  │出生年│  年│國民身│      │籍貫│      │構
          │    │  │    │  │月  日│  月│分證統│      ├──┼───┤收
          │    │  │    │  │      │  日│一編號│      │住址│      │存
          ├──┼─┴──┴─┴───┴──┼───┼───┴──┴───┤
          │學歷│                          │經  歷│                    │
          │    │                          │      │                    │
          │    │                          │      │                    │
          │    │                          │      │                    │
          ├──┴─┬─┬─────────┴───┴┬─┬───────┤
          │ (限最近│聲│  本人受     指派為     ,茲│檢│一  國民身分證│
          │一年內脫│  │聲明右列事項暨本人絕為證券交│附│    影本一份  │
          │帽一吋半│明│易法第五十四條、證券投資顧問│證│二  學歷證件影│
          │身照片) │  │事業管理規則第九條所列各款情│件│    本    份  │
          │        │事│事之一,如有虛偽,願受法律制│名│三  經歷證件影│
          │        │  │裁。                        │稱│    本    份  │
          │        │項│        聲明人       (簽章) │  │              │
          ├────┼─┴──────────────┴─┴───────┤
          │審查結果│                                                    │
          ├────┴──────────────────────────┤
          │    上案申請登記,請                                          │
          │惠予審查登記為荷。                                            │
          │    此  致                                                    │
          │財政部證券管理委員會                                          │
          │                                      信託                    │
          │                              證券投資    股份有限公司 (印信) │
          │                                      顧問                    │
          └───────────────────────────────┘
            附註:一  本表一式三聯,採文表合一,申請或受理登記機構不必另具
                      公文。
                  二  第一、二聯雙線右邊部分,由申請機構填寫;第三聯「登記
                      編號」欄由受理機構填註。
                  三  「學歷」欄,僅填最高學歷,包括校名、科系;「經歷」欄
                      ,每一經歷須填包括機構名稱、職位、任職起訖日期、離職
                      原因等。
                  四  證券投資顧問事業證券投資分析人員須聲明無證券投資顧問
                      事業管理規則第九條所到各款情事。
    附表二:
          ┌───────────────────────────────┐
          │          信託                      中華民國    年    月    日│第
          │  證券投資    事業業務人員  登記表                            │二
          │          顧問                              字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │申請│                    │登記│            │擔任│        │送
          │機構│                    │職稱│            │工作│        │證
          ├──┼─┬──┬─┬───┼──┼───┬──┴┬─┴┬───┤管
          │姓名│  │性別│  │出生年│  年│國民身│      │籍貫│      │會
          │    │  │    │  │月  日│  月│分證統│      ├──┼───┤收
          │    │  │    │  │      │  日│一編號│      │住址│      │存
          ├──┼─┴──┴─┴───┴──┼───┼───┴──┴───┤
          │學歷│                          │經  歷│                    │
          │    │                          │      │                    │
          │    │                          │      │                    │
          │    │                          │      │                    │
          ├──┴─┬─┬─────────┴───┴┬─┬───────┤
          │ (限最近│聲│  本人受     指派為     ,茲│檢│一  國民身分證│
          │一年內脫│  │聲明右列事項暨本人絕為證券交│附│    影本一份  │
          │帽一吋半│明│易法第五十四條、證券投資顧問│證│二  學歷證件影│
          │身照片) │  │事業管理規則第九條所列各款情│件│    本    份  │
          │        │事│事之一,如有虛偽,願受法律制│名│三  經歷證件影│
          │        │  │裁。                        │稱│    本    份  │
          │        │項│        聲明人       (簽章) │  │              │
          ├────┼─┴──────────────┴─┴───────┤
          │審查結果│                                                    │
          ├────┴──────────────────────────┤
          │    上案申請登記,業經本公司審查核符規定,並予以登記,報請  備│
          │    查。                                                      │
          │      此  致                                                  │
          │財政部證券管理委員會                                          │
          │                                      信託                    │
          │                              證券投資    股份有限公司 (印信) │
          │                                      顧問                    │
          └───────────────────────────────┘
    附表三:
          ┌───────────────────────────────┐
          │          信託                      中華民國    年    月    日│第
          │  證券投資    事業業務人員  登記表                            │三
          │          顧問                              字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │申請│                    │登記│            │擔任│        │送
          │機構│                    │職稱│            │工作│        │還
          ├──┼─┬──┬─┬───┼──┼───┬──┴┬─┴┬───┤申
          │姓名│  │性別│  │出生年│  年│國民身│      │籍貫│      │請
          │    │  │    │  │月  日│  月│分證統│      ├──┼───┤機
          │    │  │    │  │      │  日│一編號│      │住址│      │構
          ├──┼─┴──┴─┴───┴──┼───┼───┴──┴───┤收
          │學歷│                          │經  歷│                    │存
          │    │                          │      │                    │
          │    │                          │      │                    │
          │    │                          │      │                    │
          ├──┴─┬───────────┴───┴──────────┤
          │登記編號│                                                    │
          ├────┴──────────────────────────┤
          │    上案申請登記,業經本會編號,並予以登記,請  查照。        │
          │                                                              │
          │      此  致                                                  │
          │                      信託                                    │
          │              證券投資    股份有限公司                        │
          │                      顧問                                    │
          │                                                       (印信) │
          └───────────────────────────────┘
    附表四:
          ┌───────────────────────────────┐
          │        信託                        中華民國    年    月    日│第
          │證券投資    事業業務人員離職登記表                            │一
          │        顧問                                字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │機構│                    │登記│            │登記│        │申
          │    │                    │    │            │    │        │請
          │名稱│                    │職稱│            │編號│        │機
          ├──┴┬───────┬─┼──┼──┬───┴┬─┴┬───┤構
          │國民身│              │姓│    │離職│      年│離職│      │收
          │      │              │  │    │    │        │    │      │存
          │分證統│              │  │    │    │      月│    │      │
          │      │              │  │    │    │        │    │      │
          │一編號│              │名│    │日期│      日│原因│      │
          ├───┴───────┴─┴──┴──┴────┴──┴───┤
          │    上案登記人員已離職                                        │
          │惠予離職登記為荷。                                            │
          │    此  致                                                    │
          │  財政部證券管理委員會                                        │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                信託                          │
          │                        證券投資    股份有限公司      (印信)  │
          │                                顧問                          │
          │                                                              │
          │                                                              │
          │                                                              │
          └───────────────────────────────┘
            附註:一  本表一式三聯,採文表合一,申請及受理登記機構不必另具
                      公文。
                  二  各聯雙線右邊部份,由申請機構填寫。
    附表五:
          ┌───────────────────────────────┐
          │        信託                        中華民國    年    月    日│第
          │證券投資    事業業務人員離職登記表                            │二
          │        顧問                                字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │機構│                    │登記│            │登記│        │送
          │    │                    │    │            │    │        │證
          │名稱│                    │職稱│            │編號│        │管
          ├──┴┬───────┬─┼──┼──┬───┴┬─┴┬───┤會
          │國民身│              │姓│    │離職│      年│離職│      │收
          │      │              │  │    │    │        │    │      │存
          │分證統│              │  │    │    │      月│    │      │
          │      │              │  │    │    │        │    │      │
          │一編號│              │名│    │日期│      日│原因│      │
          ├───┴───────┴─┴──┴──┴────┴──┴───┤
          │    上案登記人員已離職                                        │
          │惠予離職登記為荷。                                            │
          │    此  致                                                    │
          │  財政部證券管理委員會                                        │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                信託                          │
          │                        證券投資    股份有限公司      (印信)  │
          │                                顧問                          │
          │                                                              │
          │                                                              │
          │                                                              │
          └───────────────────────────────┘
    附表六:
          ┌───────────────────────────────┐
          │        信託                        中華民國    年    月    日│第
          │證券投資    事業業務人員離職登記表                            │三
          │        顧問                                字第            號│聯
          ├──┬──────────┬──┬──────┬──┬────┤:
          │機構│                    │登記│            │登記│        │送
          │    │                    │    │            │    │        │還
          │名稱│                    │職稱│            │編號│        │申
          ├──┴┬───────┬─┼──┼──┬───┴┬─┴┬───┤請
          │國民身│              │姓│    │離職│      年│離職│      │機
          │      │              │  │    │    │        │    │      │構
          │分證統│              │  │    │    │      月│    │      │收
          │      │              │  │    │    │        │    │      │存
          │一編號│              │名│    │日期│      日│原因│      │
          ├───┴───────┴─┴──┴──┴────┴──┴───┤
          │    上案離職登記,業經本會予以登記,請  查照。                │
          │                                                              │
          │    此  致                                                    │
          │                                                              │
          │            信託                                              │
          │    證券投資    股份有限公司                                  │
          │            顧問                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                      (印信)  │
          │                                                              │
          │                                                              │
          │                                                              │
          │                                                              │
          └───────────────────────────────┘

    資料來源:
    證券投資顧問事業法令彙編 (87年4月版) 第 2-003~2-009、3-012 頁
    編  註:
    1.本筆資料,依據金融監督管理委員會民國 110  年 7  月 8  日公告,
      於民國 110  年 10 月 1  日起不再援用作為裁罰等處分之依據。