Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants 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.
中文原文 期貨商經營證券交易輔助業務管理規則第29條
本規則所稱業務人員，係指為證券交易輔助人從事下列業務之人：
一、辦理第三條之業務。
二、證券交易輔助人之內部稽核。
前項第一款及第二款之人員，不得互相兼任。
第一項之業務人員，應具備證券商業務人員資格。
期貨商經營證券交易輔助業務專責部門之主管，應具備證券商高級業務員之資格。
一、辦理第三條之業務。
二、證券交易輔助人之內部稽核。
前項第一款及第二款之人員，不得互相兼任。
第一項之業務人員，應具備證券商業務人員資格。
期貨商經營證券交易輔助業務專責部門之主管，應具備證券商高級業務員之資格。