Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
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:
- The businesses under Article 3 herein.
- 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.
- Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants § 3 (2014.05.29)