Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 2-1
The chairperson of a SITE shall be of upstanding character, possess the ability to effectively lead a SITE, and also possess one of the following qualifications:1. Has obtained qualification as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises, and has two years or more of relevant work experience at a qualified institutional investor(s).2. Is a graduate of a domestic or foreign school at the level of junior college or higher recognized by the Ministry of Education or has an equivalent level of education, and also has three or more years of relevant work experience at a qualified institutional investor(s), having served there in the position of assistant general manager or in an equivalent position, with a good performance record.3. There are other facts sufficient to demonstrate possession of professional knowledge of securities and finance, operational experience, and leadership ability.A SITE's chairperson shall, within ten days after election, submit relevant documentary proof of qualifications to the Financial Supervisory Commission (FSC) for recognition; where the FSC does not recognize any of that person's qualifications, the FSC may order the SITE to make an adjustment within a designated time limit.The chairman of a SITE may not concurrently serve as the general manager. However, this restriction does not apply if any of the following circumstances exists and if approval has been obtained from the FSC:1. The SITE will cease to exist as a result of dissolution or merger, and the chairman or general manager has resigned or has been removed from his or her duties by order of the FSC.2. The SITE's business permission was voided by the FSC, and the chairman or general manager has resigned or has been removed from his or her duties by order of the FSC.3. Any other special cause.
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2-1條
證券投資信託事業之董事長應具備良好品德及有效領導證券投資信託事業之能力,並具備下列資格之一:
一、依證券投資顧問事業負責人與業務人員管理規則規定,取得證券投資分析人員資格,並具專業投資機構相關工作經驗二年以上。
二、經教育部承認之國內外專科以上學校畢業或具同等學歷,並具專業投資機構相關工作經驗三年以上,曾擔任副總經理或同等職務,成績優良。
三、有其他事實足資證明其具備證券金融專業知識、經營經驗及領導能力。
證券投資信託事業之董事長應於選任後十日內,檢具相關資格證明文件,報請金融監督管理委員會(以下簡稱本會)認可;其資格條件有未經本會認可者,本會得限期命證券投資信託事業調整。
證券投資信託事業之董事長不得兼任總經理。
但有下列情形之一,經本會核准者,不在此限:
一、證券投資信託事業將因解散、合併而消滅,且該事業之董事長、總經理有辭職或經本會命令解除職務。
二、證券投資信託事業經本會廢止營業許可,且該事業之董事長、總經理有辭職或經本會命令解除職務。
三、其他特殊事由。
一、依證券投資顧問事業負責人與業務人員管理規則規定,取得證券投資分析人員資格,並具專業投資機構相關工作經驗二年以上。
二、經教育部承認之國內外專科以上學校畢業或具同等學歷,並具專業投資機構相關工作經驗三年以上,曾擔任副總經理或同等職務,成績優良。
三、有其他事實足資證明其具備證券金融專業知識、經營經驗及領導能力。
證券投資信託事業之董事長應於選任後十日內,檢具相關資格證明文件,報請金融監督管理委員會(以下簡稱本會)認可;其資格條件有未經本會認可者,本會得限期命證券投資信託事業調整。
證券投資信託事業之董事長不得兼任總經理。
但有下列情形之一,經本會核准者,不在此限:
一、證券投資信託事業將因解散、合併而消滅,且該事業之董事長、總經理有辭職或經本會命令解除職務。
二、證券投資信託事業經本會廢止營業許可,且該事業之董事長、總經理有辭職或經本會命令解除職務。
三、其他特殊事由。