Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Regulations Governing Stock Exchanges 

Amended Date: 2012.07.11 
Article 40
    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:
  1. 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.
  2. 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.
  3. Qualified as a securities investment analyst.
  4. 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.
  5. 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).

Relevant Laws:

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw