Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 13
A responsible person, department head, branch unit managerial officer, or other associated person or employee of a SITE shall exercise the care and fiduciary duty of a good administrator, and abide by principles of good faith and integrity, in performing his or her duties.Unless otherwise provided by an act or regulation, a person referred to in the preceding paragraph may not engage in any of the following conduct:1. Divulging information learned on the job to any other person, or using such information for trading in securities or securities-related products.2. When utilizing a securities investment trust fund to trade in securities or securities-related products, purchasing or selling securities for the benefit of themselves or any other person or, without legitimate reason, engaging in cross-trading with investment funds entrusted to them.3. Engaging in false or deceptive conduct or other conduct sufficient to cause mistaken belief by another.4. When utilizing a securities investment trust fund to trade in securities or securities-related products, failing to re-allocate into the fund assets any refunds of handling fees by, or other interests/benefits paid by, securities firms, futures commission merchants, or other trading counterparties.5. Promoting the sale of beneficial interest certificates by agreeing upon or providing specific benefits or considerations or by bearing losses.6. Accepting money or other interests/benefits in exchange for transferring shareholder meeting proxies, or for exercising [in a certain manner] the voting rights of shares held by the securities investment trust fund.7. When utilizing a securities investment trust fund to trade in securities or securities-related products, attempting to inflate or deflate the trading price of any certain security on the securities exchange market, or engaging in any other conduct which could injure the rights or interests of the investors of the securities investment trust fund.8. When utilizing a securities investment trust fund to trade in securities or securities-related products, changing an executed trading order from the account of the fund to their own or another person's account or a discretionary trading account, or from their own or other person's account or a discretionary trading account to the account of the fund.9. Recommending trading in a particular stock or making judgments or forecasts about the future price of a particular stock in a public venue or in the [mass] media.10. Using non-full-time personnel to solicit customers or providing unreasonable commissions.11. Investing in securities or trading in securities-related products in the capacity of an agent of another person. However, this restriction does not apply to one who is the statutory agent of the principal.12. Any other conduct that would adversely affect rights or interests of beneficial owners or customers or the operation of the SITE.Unless otherwise required by law or by the FSC, personnel referred to in paragraph 1 shall maintain the confidentiality of beneficial owner and customer information, their trading histories, and other related information.
中文原文 證券投資信託事業負責人與業務人員管理規則第13條
證券投資信託事業之負責人、部門主管、分支機構經理人、其他業務人員或受僱人，應以善良管理人之注意義務及忠實義務，本誠實信用原則執行業務。
前項人員，除法令另有規定外，不得有下列行為：
一、以職務上所知悉之消息洩漏予他人或從事有價證券及其相關商品買賣之交易活動。
二、運用證券投資信託基金買賣有價證券及其相關商品時，為自己或他人之利益買入或賣出，或無正當理由，與受託投資資金為相對委託之交易。
三、為虛偽、詐欺或其他足致他人誤信之行為。
四、運用證券投資信託基金買賣有價證券及其相關商品時，未將證券商、期貨商或其他交易對手退還手續費或給付其他利益歸入基金資產。
五、約定或提供特定利益、對價或負擔損失，促銷受益憑證。
六、轉讓出席股東會委託書或藉行使證券投資信託基金持有股票之投票表決權，收受金錢或其他利益。
七、運用證券投資信託基金買賣有價證券及其相關商品時，意圖抬高或壓低證券交易市場某種有價證券之交易價格，或從事其他足以損害證券投資信託基金投資人權益之行為。
八、運用證券投資信託基金買賣有價證券及其相關商品時，將已成交之買賣委託，自基金帳戶改為自己、他人或全權委託帳戶，或自自己、他人或全權委託帳戶改為基金帳戶。
九、於公開場所或傳播媒體，對個別有價證券之買賣進行推介，或對個別有價證券未來之價位作研判預測。
十、利用非專職人員招攬客戶或給付不合理之佣金。
十一、代理他人從事有價證券投資或證券相關商品交易。
但為委託人之法定代理人，不在此限。
十二、其他影響受益人、客戶之權益或本事業之經營者。
第一項之人員對於受益人或客戶個人資料、往來交易資料及其他相關資料，除其他法律或本會另有規定外，應保守秘密。
前項人員，除法令另有規定外，不得有下列行為：
一、以職務上所知悉之消息洩漏予他人或從事有價證券及其相關商品買賣之交易活動。
二、運用證券投資信託基金買賣有價證券及其相關商品時，為自己或他人之利益買入或賣出，或無正當理由，與受託投資資金為相對委託之交易。
三、為虛偽、詐欺或其他足致他人誤信之行為。
四、運用證券投資信託基金買賣有價證券及其相關商品時，未將證券商、期貨商或其他交易對手退還手續費或給付其他利益歸入基金資產。
五、約定或提供特定利益、對價或負擔損失，促銷受益憑證。
六、轉讓出席股東會委託書或藉行使證券投資信託基金持有股票之投票表決權，收受金錢或其他利益。
七、運用證券投資信託基金買賣有價證券及其相關商品時，意圖抬高或壓低證券交易市場某種有價證券之交易價格，或從事其他足以損害證券投資信託基金投資人權益之行為。
八、運用證券投資信託基金買賣有價證券及其相關商品時，將已成交之買賣委託，自基金帳戶改為自己、他人或全權委託帳戶，或自自己、他人或全權委託帳戶改為基金帳戶。
九、於公開場所或傳播媒體，對個別有價證券之買賣進行推介，或對個別有價證券未來之價位作研判預測。
十、利用非專職人員招攬客戶或給付不合理之佣金。
十一、代理他人從事有價證券投資或證券相關商品交易。
但為委託人之法定代理人，不在此限。
十二、其他影響受益人、客戶之權益或本事業之經營者。
第一項之人員對於受益人或客戶個人資料、往來交易資料及其他相關資料，除其他法律或本會另有規定外，應保守秘密。