Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants Article 2
The term "responsible persons" in these Regulations shall mean responsible persons as defined in Article 8 of the Company Act or in other laws.The term "associated persons" in these Regulations shall mean persons engaged in the following business activities for and on behalf of a futures commission merchant (FCM):1. Solicitation, account opening, brokerage order taking, execution, or clearance and settlement in connection with futures trading.2. Proprietary trading, and clearance and settlement, in connection with futures trading.3. Internal auditing related to futures trading.4. Discretionary futures trading.5. Self-audit or legal compliance in connection with futures trades.6. In-charge accountant for futures trading.7. Risk management for futures trading.8. Conducting other approved business.
中文原文 期貨商負責人及業務員管理規則第2條
本規則所稱負責人，指依公司法第八條或其他法律之規定應負責之人。
本規則所稱業務員，指為期貨商從事下列業務之人員：
一、期貨交易之招攬、開戶、受託、執行或結算交割。
二、期貨交易之自行買賣、結算交割。
三、期貨交易之內部稽核。
四、期貨交易之全權委託。
五、期貨交易之自行查核或法令遵循。
六、期貨交易之主辦會計。
七、期貨交易之風險管理。
八、辦理其他經核准之業務。
本規則所稱業務員，指為期貨商從事下列業務之人員：
一、期貨交易之招攬、開戶、受託、執行或結算交割。
二、期貨交易之自行買賣、結算交割。
三、期貨交易之內部稽核。
四、期貨交易之全權委託。
五、期貨交易之自行查核或法令遵循。
六、期貨交易之主辦會計。
七、期貨交易之風險管理。
八、辦理其他經核准之業務。