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友善列印
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Amendments

Title:

Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms  CH

Amended Date: 2024.04.16 (Articles 41-1 amended,English version coming soon)
Current English version amended on 2022.07.14 

Title: GreTai Securities Market Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms(2010.04.22)
Date:
Article 57 Personnel engaged in the recommendation or sale of financial derivatives products shall be qualified as securities firm associated persons, and shall also possess one of the following qualifications:
(1) Graduation from a finance or finance-related department at the university level or higher, along with completion of six credit hours in courses in financial derivatives and risk management or participation in 20 or more hours of course work in financial derivatives and risk management at a foreign or domestic financial training institute.
(2) The qualifications required for senior agent of a securities firm under Article 5 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.
(3) Participation in 30 hours or more of courses in financial derivatives and risk management offered by a foreign or domestic financial training institute.
(4) Holding a financial derivatives-related license.
(5) A half year or more of actual experience in financial derivatives business at a foreign or domestic financial institution.
The traders and risk-management personnel of a securities firm that undertakes financial derivatives trades linked to foreign financial products shall possess relevant experience in operations in the home market for the linked underlying product.