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Article NO. Content


Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date: 2020.10.26 (Articles 10 amended,English version coming soon)
Current English version amended on 2020.01.15 
Article 15     Associated persons of a securities firm shall participate in pre-service and in-service training offered by the FSC or by an institution appointed by the FSC.
    An associated person of a securities firm who is assuming the job for the first time, or who has resumed the job after an absence of 3 years, shall participate in pre-service training within 6 months after reporting for work. Currently employed personnel shall participate in in-service training once every 3 years.
    The FSC may specify the content and periods for the training described in the preceding paragraph according to actual needs.