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Article 40
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The managerial associated persons employed by a stock exchange shall not have any conditions specified in Article 54 of the Act and shall have one of the following qualifications:
- Graduate of a college or above or passed the advanced examination or the equivalent special examination, and have worked in the business department of a securities or financial institution or in the financial or stock affairs department of a listed company for 3 years or more.
- Have worked in the business department of a securities or financial institution(s) or in the financial or stock affairs department of a listed company(ies) for 5 years or more.
- Qualified as a securities investment analyst.
- Have been registered as a senior associated person of a securities firm or received the certificate of passing the test for the senior associated person of a securities firm issued by the FSC.
- Have passed the test for the senior associated person of a securities firm held by the ROC Securities and Futures Institute (SFI) which is mandated by the ROC Securities Dealers Association (SDA).
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