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友善列印
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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 6     An agent of a securities firm shall have one of the following qualifications:
  1. Qualification as a securities investment analyst as prescribed in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.
  2. Having passed the securities firm agent exam held by the SFI at the request of the Taiwan Securities Association.
  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.