Securities and Exchange Act Enforcement Rules Article 9
The term "associated persons employed by securities firms whose duties relate to the securities business" referred to in Article 54, paragraph 1and Article 18-1, paragraph 2 of the Act, and the persons employed by enterprises referred to in Article 18 of the Act shall include the following persons:1. Any persons employed by a securities underwriter to process the underwriting, trading negotiation, or trading implementation of securities. 2. Any persons employed by a securities dealer to process the dealing and clearance and settlement of securities, stock business agency, or risk management and brokerage of derivative financial products. 3. Any persons employed by a securities broker to process the account opening, credit search/review, solicitation, recommendation and introduction, commissioning, filing, clearance, and settlement of securities trading, margin lending and short selling, or the acceptance, delivery, and custody of securities and payment. 4. Any persons employed by a securities finance enterprise to process the account opening, credit search/review, clearance and settlement of securities trading, or the acceptance and delivery of securities and payment. 5. Any persons employed by a central securities depository to implement the custody or book entry transfer of securities, or process matters related to the custody of securities. 6. Any accountant in charge, investment analysts, self-auditing personnel, legal compliance personnel, internal auditors, or personnel conducting other approved business, who are employed by the securities firms or securities services enterprises set forth in the preceding five subparagraphs.
中文原文 證券交易法施行細則第9條
本法第五十四條第一項及第十八條之一第二項所定對於有價證券營業行為直接有關之業務人員及第十八條事業之人員，指下列業務之人員：
一、在證券承銷商為辦理有價證券承銷、買賣接洽或執行之人員。
二、在證券自營商為辦理有價證券自行買賣、結算交割、代辦股務或衍生性金融商品風險管理或操作之人員。
三、在證券經紀商為辦理有價證券買賣之開戶、徵信、招攬、推介、受託、申報、結算、交割、融資融券或為款券之收付、保管之人員。
四、在證券金融事業為融資融券業務之開戶、徵信、結算交割、帳務處理或為款券收付之人員。
五、在證券集中保管事業為執行有價證券保管或帳簿劃撥登錄業務之人員。
六、前五款所列證券商或證券服務事業之主辦會計、投資分析、自行查核、法令遵循、內部稽核人員或辦理其他經核准業務之人員。
一、在證券承銷商為辦理有價證券承銷、買賣接洽或執行之人員。
二、在證券自營商為辦理有價證券自行買賣、結算交割、代辦股務或衍生性金融商品風險管理或操作之人員。
三、在證券經紀商為辦理有價證券買賣之開戶、徵信、招攬、推介、受託、申報、結算、交割、融資融券或為款券之收付、保管之人員。
四、在證券金融事業為融資融券業務之開戶、徵信、結算交割、帳務處理或為款券收付之人員。
五、在證券集中保管事業為執行有價證券保管或帳簿劃撥登錄業務之人員。
六、前五款所列證券商或證券服務事業之主辦會計、投資分析、自行查核、法令遵循、內部稽核人員或辦理其他經核准業務之人員。