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Amendments
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms
CH
Amended Date：
2024.03.06 (Articles 18 amended,English version coming soon)
Current English version amended on 2022.10.28
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Chinese
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms(2020.01.15)
Date：
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 the business of proprietary trading of security tokens (virtual currencies that have the nature of securities) or equity crowdfunding business shall follow applicable rules adopted by the TPEx.
Responsible persons and associated persons of a securities firm who engage only in security token proprietary trading business or equity crowdfunding business are not subject to the provisions of Articles 8 to 11-2 and Articles 15 to 17.