Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises Article 6
A person who performs the internal audit, legal compliance, or risk management function of a SITE 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.2. Has passed an examination for associated persons of securities investment trust and consulting enterprises administered by an institution engaged by the SITCA, and has one year or more of securities, futures, or trust-related work experience at a qualified institutional investor(s).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, and also has two years or more of securities, futures, or trust-related work experience at a qualified institutional investor(s).4. Has one year or more of work experience serving as a manager of domestic or foreign funds.5. Is a graduate of a domestic or foreign school at the level of university 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.6. Is a graduate of a domestic or foreign school at the level of university or higher recognized by the Ministry of Education or has an equivalent level of education, and has two years or more of audit work experience at a joint CPA firm meeting the conditions required by the Regulations Governing Approval of Certified Public Accountants to Audit and Certify Financial Reports of Public Companies, and also has passed the examination specified in subparagraph 2 or 3.7. Possesses the qualifications in Article 5, subparagraph 1 or 2 of the Regulations for the Senior Examination for Professional and Technical Personnel: Lawyer, and has two years or more of legal work experience in the field of securities or futures at a law firm, and also has passed the examination specified in subparagraph 2 or 3.The definition of "qualified institutional investor" as referred to in Article 2-1 up to paragraph 1 of this article, and the scope of its work, shall be as announced by the FSC.
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條
證券投資信託事業從事內部稽核、法令遵循及風險管理業務人員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，並在專業投資機構從事證券、期貨或信託相關工作經驗一年以上。
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，並在專業投資機構從事證券、期貨或信託相關工作經驗二年以上。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、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，並擔任證券、期貨機構或信託業之業務人員三年以上。
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，並在符合會計師辦理公開發行公司財務報告查核簽證核准準則規定條件之聯合會計師事務所從事審計工作經驗二年以上，且經第二款或第三款所定之測驗合格。
七、具有專門職業及技術人員高等考試律師考試規則第五條第一款或第二款資格，並在律師事務所從事證券或期貨相關法律事務工作經驗二年以上，且經第二款或第三款所定之測驗合格。
第二條之一至本條第一項所定專業投資機構及其工作項目，由本會公告。
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，並在專業投資機構從事證券、期貨或信託相關工作經驗一年以上。
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，並在專業投資機構從事證券、期貨或信託相關工作經驗二年以上。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、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，並擔任證券、期貨機構或信託業之業務人員三年以上。
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，並在符合會計師辦理公開發行公司財務報告查核簽證核准準則規定條件之聯合會計師事務所從事審計工作經驗二年以上，且經第二款或第三款所定之測驗合格。
七、具有專門職業及技術人員高等考試律師考試規則第五條第一款或第二款資格，並在律師事務所從事證券或期貨相關法律事務工作經驗二年以上，且經第二款或第三款所定之測驗合格。
第二條之一至本條第一項所定專業投資機構及其工作項目，由本會公告。