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Article NO. Content

Title：

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date： 2025.05.08 (Articles 21-1 amended,English version coming soon)
Current English version amended on 2024.03.06 
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 6 An agent of a securities firm shall have one of the following qualifications:<br/>1. Qualification as a securities investment analyst as prescribed in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.<br/>2. Having passed the securities firm agent exam held by the SFI at the request of the Securities Association.<br/>3. Being registered as a securities firm agent in accordance with these Regulations, or having obtained a certificate of qualification as a securities firm agent issued by the FSC.

Interpretation：