Article NO. Content

Title:

Regulations Governing Responsible Persons and Associated Persons of Securities Firms 

Amended Date: 2024.03.06 
Article 21 The FSC will reward or commend a responsible person or associated person of a securities firm for any of the following:<br/>1. Contribution of intellect and effort toward building securities market mechanisms, with distinguished results.<br/>2. Research or writing that contributes creative ideas to the development of the securities market or the implementation of securities business, when the ideas have been adopted and implemented.<br/>3. Reporting any illegal matter that is confirmed to be true.<br/>4. Service in the same securities firm for 15 consecutive years or longer with devotion to the job.<br/>5. Zealous work on behalf of the public interest and the exercise of team spirit, as proven through concrete achievements.<br/>6. Other achievements deserving of commendation.