|
Article 13
|
In the event of any change of responsible person or associated person, the securities firm shall file for registration of the change with the Stock Exchange, Securities Association, or Taipei 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.<br/>1. File for the purpose of an amendment registration in the event of any job transfer or promotion of a responsible person or associated person of a securities firm.<br/>2. File 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.<br/>3. File 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 the person falls under any circumstance in paragraph 3 of the preceding article.<br/>Registration of any change in a responsible person or associated person of an overseas branch of a securities firm shall be performed within 10 days after the change.<br/>By the 15th day of each month, the Stock Exchange, Securities Association or Taipei 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.<br/>A securities firm shall file with the Stock Exchange, Securities Association, or Taipei Exchange for approval and recordation in advance before any change under paragraph 1 may be made with respect to an internal auditing associated person of the securities firm.
|