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Amendments

Title:

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date: 2021.05.06 

Title: Rules Governing Responsible Persons and Sales Agents of Securities Firms(2002.03.11)
Date:
Article 4  The associated person of a securities firm shall be in full time work except where the securities firm is concurrently operated by a financial institution, provided that where otherwise provided by the Commission, the above shall not apply.
 The following associated persons of a securities firm shall not engage in the business beyond the scope of registration or ask other associated persons to perform on their behalf, unless otherwise prescribed in other laws or regulations:
 1.The person who engages in the consigned trading of securities;
 2.The person who engages in the dealing of securities;
 3.The person who engages in the internal auditing;
 The assistant agent of a securities firm shall not engage in or concurrently engage in the business that shall be engaged by a senior agent or an agent. The agent of a securities firm shall not engage in or concurrently engage in the business that shall be engaged by a senior agent.