Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 2
The term "responsible person" as used in these Regulations means a person who shall be held responsible under Article 8 of the Company Act or under provisions of other acts of law.The term "associated persons" in these Regulations means personnel who conduct any of the following types of business for a securities investment trust enterprise (SITE):1. Handling the public offering, issuance, sale, and private placement of beneficial interest certificates.2. Investment research and analysis.3. Fund operation and management4. Execution of securities trading for funds.5. Research and analysis, investment decision-making, or trade execution for discretionary investment related business.6. Internal auditing.7. Legal compliance.8. Risk management.9. Acting as in-charge accountant.10. Conducting other approved business.
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條
本規則所稱負責人，指依公司法第八條或其他法律之規定應負責之人。
本規則所稱業務人員，指為證券投資信託事業從事下列業務之人員：
一、辦理受益憑證之募集發行、銷售及私募。
二、投資研究分析。
三、基金之經營管理。
四、執行基金買賣有價證券。
五、辦理全權委託投資有關業務之研究分析、投資決策或買賣執行。
六、內部稽核。
七、法令遵循。
八、風險管理。
九、主辦會計。
十、辦理其他經核准之業務。
本規則所稱業務人員，指為證券投資信託事業從事下列業務之人員：
一、辦理受益憑證之募集發行、銷售及私募。
二、投資研究分析。
三、基金之經營管理。
四、執行基金買賣有價證券。
五、辦理全權委託投資有關業務之研究分析、投資決策或買賣執行。
六、內部稽核。
七、法令遵循。
八、風險管理。
九、主辦會計。
十、辦理其他經核准之業務。