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Article 9
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A securities firm operating only the business of proprietary trading of security tokens shall appoint one general manager to be responsible for the overall management of the entire company's business, who shall meet the qualifications under Article 9 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms. The securities firm furthermore shall first submit documents verifying that its candidate meets the required qualifications to the TPEx for review and its approval before the candidate may fill that position..
The securities firm's proprietary trading officer for the execution of security token business and its internal audit officer shall possess qualification as senior securities agents, and shall meet the qualifications set out in Article 10 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.
The securities firm's personnel executing security token business and its internal auditors shall possess the qualification of securities agent or higher, and at least one of the internal auditors shall possess one of the following qualifications:
- Have at least three years of professional work experience such as a computer programmer or a systems analyst.
- Have at least two years engaged in computer auditing at a CPA firm.
- Passed and received certification from the Information Systems Audit and Control Association (ISACA) for the "Certified Information Systems Auditor (CISA)".
The personnel under the preceding two paragraphs shall participate in pre-service and in-service training as required by the TPEx.
The securities firm shall appoint one person as an officer in charge of coordination and supervision of information security, and also shall appoint at least one person as a dedicated information security personnel responsible for security token proprietary trading business, who shall be responsible exclusively for tasks or duties related to information security. The aforesaid dedicated information security personnel shall hold a total of not less than two cyber security professional licenses, and shall continuously maintain the validity of the licenses.
In the case of a securities firm operating only the business of proprietary trading of security tokens, the board of directors shall appoint one senior officer to serve as the chief AML/CFT compliance officer.
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