Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants 

Amended Date: 2014.05.29 
Article 29
    The term "associated person" as used in these Regulations shall mean a person engaging in the following types of business on behalf of a securities introducing broker:
  1. The businesses under Article 3 herein.
  2. Internal auditing of a securities introducing broker.
    No person handling the business of either subparagraph 1 or subparagraph 2 of the preceding paragraph may concurrently handle the business under the other subparagraph.
    An associated person as referred to in paragraph 1 shall be a qualified securities firm associated person.    The supervisor of a futures commission merchant's dedicated department for the operation of securities introducing broker business shall be qualified as a securities firm senior agent.

Relevant Laws:

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