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Article NO. Content

Title:

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date: 2020.01.15 
Article 13     In the event of any change of responsible person or associated person, the securities firm shall file a registration with the stock exchange, securities dealers association, or over-the-counter stock exchange within 5 days after the change, as specified below. The securities firm shall not be released from liability for the actions of such persons before completion of the registration.
  1. For the purpose of an amendment registration due to job transfer or promotion of a responsible person or associated person of a securities firm.
  2. For the purpose of canceling a registration in the event of the death, resignation, layoff, dismissal, severance, or retirement of a responsible person or associated person of a securities firm, or a circumstance set out in Article 17.
  3. For the purpose of voiding a registration when the dismissal of a responsible person or associated person is ordered by the FSC in accordance with the Act, or the registration of said person conforms to any circumstance under paragraph 3 of the preceding article.
    Registration of any change in a responsible person or associated person of the overseas branch of a securities firm shall be performed within 10 days after the change.
    By the 15th day of each month, the stock exchange, securities dealers association or over-the counter stock exchange shall compile the particulars of changes to registrations as referred to in the preceding paragraph for the previous month and report them to the FSC for recordation.
    A securities firm shall file with the stock exchange, securities dealers association, or over-the-counter stock exchange for approval and recordation before any change of an internal auditing associated person of the securities firm described in paragraph 1 may take effect.