Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 6-1
Associated persons of a SITE engaged in business activities set out in Article 2, paragraph 2, subparagraphs 2 to 5 or 10 shall, except for a fund manager or a discretionary investment manager, who shall meet the qualifications set out in Article 5, 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.2. Has passed an examination for associated persons of securities investment trust and consulting enterprises administered by an institution engaged by the SITCA.3. Has passed a senior securities specialist examination held by an institution engaged by a securities dealers association or has obtained certification of passage of such an examination issued by the former competent authority for securities.4. Has one year or more of work experience serving as a manager of domestic or foreign funds.5. Has passed a professional examination on trust business held by a trust association or a professional financial training institute recognized by a trust association and has also passed an examination held by an institution engaged by the SITCA on laws and regulations (legal compliance) pertaining to securities investment trust and consulting.6. Is a graduate of a domestic or foreign school at the level of college or higher recognized by the Ministry of Education or has an equivalent level of education, and has served for three years or more as an associated person of one or more securities or futures institutions or trust enterprises.Associated persons of a SITE engaged in business activities set out in Article 2, paragraph 2, subparagraph 1 shall possess one of the following qualifications:1. Satisfies the qualification requirement under the preceding paragraph.2. Has passed a professional examination held by the Taiwan Insurance Institute for insurance solicitors of investment-linked insurance products and has also passed an examination held by an institution engaged by the SITCA on laws and regulations (legal compliance) pertaining to securities investment trust and consulting.
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6-1條
證券投資信託事業從事第二條第二項第二款至第五款及第十款之業務人員，除基金經理人及全權委託投資經理人外，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。
二、經同業公會委託機構舉辦之證券投資信託及顧問事業之業務員測驗合格。
三、經證券商同業公會委託機構舉辦之證券商高級業務員測驗合格，或已取得原證券主管機關核發之證券商高級業務員測驗合格證書。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、信託業公會或其認可金融專業訓練機構舉辦之信託業務專業測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問法規測驗合格。
六、經教育部承認之國內外大學以上學校畢業或具有同等學歷，擔任證券、期貨機構或信託業之業務人員三年以上。
證券投資信託事業從事第二條第二項第一款之業務人員，應具備下列資格條件之一：
一、符合前項資格條件者。
二、財團法人保險事業發展中心舉辦之投資型保險商品業務員測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問法規測驗合格。
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。
二、經同業公會委託機構舉辦之證券投資信託及顧問事業之業務員測驗合格。
三、經證券商同業公會委託機構舉辦之證券商高級業務員測驗合格，或已取得原證券主管機關核發之證券商高級業務員測驗合格證書。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、信託業公會或其認可金融專業訓練機構舉辦之信託業務專業測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問法規測驗合格。
六、經教育部承認之國內外大學以上學校畢業或具有同等學歷，擔任證券、期貨機構或信託業之業務人員三年以上。
證券投資信託事業從事第二條第二項第一款之業務人員，應具備下列資格條件之一：
一、符合前項資格條件者。
二、財團法人保險事業發展中心舉辦之投資型保險商品業務員測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問法規測驗合格。