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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 16     The FSC or the training institution shall issue a training certificate to associated persons who participate in and pass the pre-service or in-service training, and shall submit the training performance evaluation to the employer institution for reference regarding the evaluation, promotion, and assignment of work. The FSC or training institution may reward those who are outstanding in performance.