Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 4
Assistant general managers, deputy assistant general managers, and managers in a business department of a SITE shall possess leadership ability and the ability to effectively assist in the operation of a SITE, and shall possess one of the following qualifications:1. Is qualified as a securities investment analyst in accordance with the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises, and also has work experience meeting one of the following criteria:A. One year or more of relevant work experience at a qualified institutional investor(s).B. Two years or more of work experience, with a good performance record, in a professional field such as information, technology, law, e-commerce, or digital economy.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), with a good performance record.3. Has other academic or work qualifications sufficient to demonstrate possession of professional knowledge of securities and finance, operational experience, and leadership ability.The term "business department" in the preceding paragraph means a department conducting any of the types of business under Article 2, paragraph 2, subparagraphs 1 to 8 or 10.A director of a SITE or any of its personnel referred to in paragraph 1 who serves or otherwise directly engages in a capacity set out in Article 2, paragraph 2, shall obtain or possess one of the qualifications set out in Article 5, 6, and 6-1 to 6-3.A person who, before the adoption and issuance of these Regulations, was already serving in a position referred to in paragraph 1 may continue to serve in the original position or for the duration of the original term, without being subject to the restrictions of paragraph 1.A person who is promoted or assigned to one of the positions referred to in the preceding paragraph after the adoption and issuance of these Regulations, shall possess or meet the qualifications set out in these Regulations; those who do not meet those qualifications may not serve in that position, and the Securities Investment Trust and Consulting Association of the R.O.C. (SITCA) shall void the registration of that person.The provisions of paragraph 1 shall apply mutatis mutandis with respect to a person serving in a position equivalent to that under paragraph 1, as determined under other statutory provisions or under the provisions of a SITE's articles of incorporation.
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4條
證券投資信託事業業務部門之副總經理、協理、經理等，應具備領導及有效輔佐經營證券投資信託事業之能力，並應具備下列資格之一：
一、符合證券投資顧問事業負責人與業務人員管理規則所定證券投資分析人員資格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗一年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗二年以上，成績優良。
二、經教育部承認之國內外專科以上學校畢業或具有同等學歷，並具專業投資機構相關工作經驗三年以上，成績優良。
三、有其他學經歷足資證明其具備證券金融專業知識、經營經驗及領導能力。
前項所稱業務部門指從事第二條第二項第一款至第八款及第十款業務之部門。
證券投資信託事業之董事及第一項人員擔任或直接從事第二條第二項所定之職務者，應取得或具備第五條、第六條或第六條之一至第六條之三所定之資格條件。
本規則訂定發布前，已擔任第一項職務之人員，得於原職務或任期內續任之，不受第一項規定之限制。
前項人員於本規則訂定發布後升任或充任者，應具備或符合本規則所定資格條件；不符者，不得充任，並由中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）撤銷其登錄。
依其他法律或證券投資信託事業組織章程規定與第一項人員職責相當者，準用第一項規定。
一、符合證券投資顧問事業負責人與業務人員管理規則所定證券投資分析人員資格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗一年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗二年以上，成績優良。
二、經教育部承認之國內外專科以上學校畢業或具有同等學歷，並具專業投資機構相關工作經驗三年以上，成績優良。
三、有其他學經歷足資證明其具備證券金融專業知識、經營經驗及領導能力。
前項所稱業務部門指從事第二條第二項第一款至第八款及第十款業務之部門。
證券投資信託事業之董事及第一項人員擔任或直接從事第二條第二項所定之職務者，應取得或具備第五條、第六條或第六條之一至第六條之三所定之資格條件。
本規則訂定發布前，已擔任第一項職務之人員，得於原職務或任期內續任之，不受第一項規定之限制。
前項人員於本規則訂定發布後升任或充任者，應具備或符合本規則所定資格條件；不符者，不得充任，並由中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）撤銷其登錄。
依其他法律或證券投資信託事業組織章程規定與第一項人員職責相當者，準用第一項規定。