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Amendments
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms
CH
Amended Date：
2025.07.18 (Articles 3, 8, 10, 11 amended,English version coming soon)
Current English version amended on 2025.05.08
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Chinese
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms(2015.04.28)
Date：
2024.03.06
2022.10.28
2021.05.06
2020.10.26
2020.01.15
2015.08.28
2015.04.28
2014.06.27
2013.12.30
2011.10.06
2010.10.11
2008.12.22
2008.06.09
2007.10.02
2006.07.26
2005.09.15
2003.12.31
2003.02.21
2002.03.11
Article 21-1
Associated persons of a securities firm who engage in equity crowdfunding business shall follow applicable rules adopted by the TPEx.
Responsible persons and associated persons of a securities firm who engage in only equity crowdfunding business are not subject to the provisions of Articles 8 to 11-2 and Articles 15 to 17.