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Relevant Laws

Title：Regulations Governing Responsible Persons and Associated Persons of Securities Firms (2022.10.28)
Article 3     Associated persons of securities firms are classified into the following two categories in accordance with the complexity and degree of responsibility of their duties:
  1. Senior agent: A person who supervises a department or who is a responsible person of a securities firm's branch unit, or is engaged in investment analysis or internal auditing, as described in Article 8, paragraph 1.
  2. Agent: A person who engages in underwriting, proprietary trading, or brokerage trading of securities, or who is an internal auditor or an in-charge accountant, as described in the subparagraphs of paragraph 2 of the preceding article.
    Only a person who is trained and certified by the internal auditor training program of an institution accredited by the Financial Supervisory Commission (FSC) may engage in internal auditing as provided in subparagraph 2 of the preceding paragraph.
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 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.