Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
The term "associated person" means any employee hired by a securities dealers association to handle any of the following matters:
- The adoption, amendment, or implementation of operating rules and bylaws governing operational matters related to the securities market.
- The inspection and management of the finances or business operations of the members.
- Securities market research, analysis, promotion, mediation, education, and public awareness activities.
- Matters related to the membership of the members, and the registration and administration of responsible persons and associated persons of the members.
- Matters related to the testing, training, and administration of the associated persons of securities firms.
- Other matters related to the promotion of Association affairs and business.
An associated person as described in the preceding paragraph may not fall into any category specified in any subparagraph of Article 53 of the Act, and in addition shall meet one of the following qualifications:
- To have obtained qualification as a securities firm's agent or senior agent under the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.
- To have obtained qualification as a securities investment analyst under the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.
An associated person who has been engaging in duties listed in paragraph 1 before the enforcement of the amendments to these Regulations, and who has not yet obtained the qualification as required under the preceding paragraph, shall obtain such qualification within one year after the date of enforcement of the amendments.
- Securities and Exchange Act § 53 (2021.01.27)