Securities Investment Trust and Consulting Act Article 94
Associated Persons and Other Business Matters and Promotional Activities)Where, pursuant to this Act or another act or regulation, and with the approval of the Competent Authority, a securities investment trust enterprise concurrently operates a securities investment consulting enterprise or vice versa, or either such kind of enterprise concurrently operates another enterprise, or is concurrently operated by another enterprise, they may do nothing that would involve a conflict of interest with or prejudice to the rights or interests of beneficiaries or customers in terms of concurrent appointments of and codes of conduct of their responsible persons or associated persons, sharing and utilization of information, sharing of operating equipment or places of business, or advertising, public informational meetings, or other business promotion activities. The Competent Authority shall prescribe applicable regulations.
中文原文 證券投資信託及顧問法第94條
依本法或其他法律規定，經主管機關核准，證券投資信託事業或證券投資顧問事業互相兼營、兼營他事業或由他事業兼營者，其負責人與業務人員之兼任及行為規範、資訊交互運用、營業設備或營業場所之共用，或為廣告、公開說明會及其他營業促銷活動，不得與受益人或客戶利益衝突或有損害其權益之行為；其辦法，由主管機關定之。