Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 21-1
Where an other-industry enterprise concurrently conducts securities investment trust business, the supervisory and associated persons of the duly established department dedicated to such business, may not handle business beyond the scope of the dedicated department, nor may their functions be performed by any department head or associated persons other than one registered as such for that dedicated department, unless the requirements of paragraph 6 are met.The provisions of Articles 2-1, 3, 7, and 9 apply mutatis mutandis with respect to the chairperson and general manager of any other-industry enterprise, except for a trust enterprise, that concurrently conducts securities investment trust business.Where an other-industry enterprise concurrently conducts securities investment trust business, the department heads and associated persons, except for the chief internal audit officer, of such enterprise who engage in business specified in Article 2, paragraph 2, subparagraphs 1 to 7 shall possess the qualifications set out in these Regulations.The provisions of Articles 13 to 16, and Article 18 up to the preceding article, apply mutatis mutandis with respect to the responsible persons of any other-industry enterprise, except for a trust enterprise, that concurrently conducts securities investment trust business.The provisions of Articles 13 to 16, and Article 18 up to the preceding article, apply mutatis mutandis with respect to the responsible persons of any other-industry enterprise, except for a trust enterprise, that concurrently conducts securities investment trust business.Where an other-industry enterprise concurrently conducts securities investment trust business, the provisions of Article 7, Article 8, paragraphs 2 to 6, Articles 9 to 15, and Article 17 up to the preceding article, apply mutatis mutandis with respect to the department heads and associated persons of such an enterprise that engages in business specified in Article 2, paragraph 2, subparagraphs 1 to 7.
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21-1條
他業兼營證券投資信託業務依法應設置專責部門者，其專責部門主管及業務人員，除符合第六項規定外，不得辦理專責部門以外之業務，或由非登錄專責部門主管或業務人員兼辦。
他業兼營證券投資信託業務者，除信託業兼營者外，其董事長及總經理準用第二條之一、第三條、第七條及第九條規定。
他業兼營證券投資信託業務從事第二條第二項第一款至第七款業務之部門主管及業務人員，除內部稽核主管外，應具備本規則所定資格條件。
他業兼營證券投資信託業務，除信託業兼營者外，其負責人準用第十三條至第十六條及第十八條至前條規定。
信託業兼營證券投資信託業務者，其負責人準用第十三條、第十五條、第十六條及第十八條至前條規定。
他業兼營證券投資信託業務從事第二條第二項第一款至第七款業務之部門主管及業務人員，準用第七條、第八條第二項至第六項、第九條至第十五條及第十七條至前條規定。
他業兼營證券投資信託業務者，除信託業兼營者外，其董事長及總經理準用第二條之一、第三條、第七條及第九條規定。
他業兼營證券投資信託業務從事第二條第二項第一款至第七款業務之部門主管及業務人員，除內部稽核主管外，應具備本規則所定資格條件。
他業兼營證券投資信託業務，除信託業兼營者外，其負責人準用第十三條至第十六條及第十八條至前條規定。
信託業兼營證券投資信託業務者，其負責人準用第十三條、第十五條、第十六條及第十八條至前條規定。
他業兼營證券投資信託業務從事第二條第二項第一款至第七款業務之部門主管及業務人員，準用第七條、第八條第二項至第六項、第九條至第十五條及第十七條至前條規定。