Regulations Governing Leverage Transaction Merchants Article 20
The following associated persons of a leverage transaction merchant shall not perform business activities beyond the scope of their registration, nor shall such business activities be concurrently performed by other associated persons, provided that where other laws or regulations provide otherwise, such laws and regulations shall govern:1. Internal auditors.2. Risk management personnel.Associated persons of a leverage transaction merchant who are engaged in research and analysis or in product design or recommendation or sale may not concurrently hold a position involved in clearing and settlement or concurrently serve as in-charge accountant.The position of associated person handling research and analysis or product design or recommendation or sale at a leverage transaction merchant may be concurrently held by an associated person registered to handle proprietary trading for the futures commission merchant; the position of associated person handling clearing and settlement, internal auditing, legal compliance, or risk management, or serving as in-charge accountant, may be concurrently held by an associated person engaged in operations of the same nature for the futures commission merchant.The position of managerial officer in the dedicated unit for leverage transactions at a futures commission merchant concurrently operating a leverage transaction merchant may be concurrently held by the managerial officer of the futures commission merchant's proprietary trading department.A leverage transaction merchant shall establish internal audit and control mechanisms to ensure that any concurrent holding of positions by any of its associated persons is limited to the scope necessary for the effective execution of the associated person's principal duties and duties of the other position concurrently held, and for maintaining the business operations of the leverage transaction merchant. The concurrent holding of positions may not involve any conflict of interest or violation of applicable futures regulations or the internal control system provisions, and the rights and interests of customers and shareholders shall be protected.
中文原文 槓桿交易商管理規則第20條
槓桿交易商之下列業務員不得辦理登記範圍以外之業務或由其他業務員兼任。
但其他法令另有規定者，從其規定：
一、內部稽核人員。
二、風險管理人員。
槓桿交易商辦理研究分析或商品設計及推介或銷售之業務員，不得兼任結算交割及主辦會計等職務。
槓桿交易商辦理研究分析或商品設計及推介或銷售之業務員，得由期貨商登記辦理自行買賣之業務員兼任，辦理結算交割、內部稽核、法令遵循、風險管理及主辦會計之業務員，得由期貨商辦理相同性質業務之業務員兼任。
期貨商兼營槓桿交易商之專責單位經理人，得由期貨商辦理自行買賣業務部門經理人兼任。
槓桿交易商業務員之兼任職務行為，槓桿交易商應建立內部審核控管機制，以確保業務員本職及兼任職務之有效執行，並維持槓桿交易商業務運作之必要範圍為限，不得涉有利益衝突、違反期貨相關規定或內部控制制度情事，且應確保客戶及股東權益。
但其他法令另有規定者，從其規定：
一、內部稽核人員。
二、風險管理人員。
槓桿交易商辦理研究分析或商品設計及推介或銷售之業務員，不得兼任結算交割及主辦會計等職務。
槓桿交易商辦理研究分析或商品設計及推介或銷售之業務員，得由期貨商登記辦理自行買賣之業務員兼任，辦理結算交割、內部稽核、法令遵循、風險管理及主辦會計之業務員，得由期貨商辦理相同性質業務之業務員兼任。
期貨商兼營槓桿交易商之專責單位經理人，得由期貨商辦理自行買賣業務部門經理人兼任。
槓桿交易商業務員之兼任職務行為，槓桿交易商應建立內部審核控管機制，以確保業務員本職及兼任職務之有效執行，並維持槓桿交易商業務運作之必要範圍為限，不得涉有利益衝突、違反期貨相關規定或內部控制制度情事，且應確保客戶及股東權益。