Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 33
A trust enterprise that concurrently provides discretionary investment services shall allocate a sufficient number of competent supervisory personnel and associated persons for conduct of the business.No associated person of the preceding paragraph that carries out research and analysis and makes investment or trading decisions may concurrently serve as an associated person that executes transactions; in addition, no associated person that makes investment or trading decisions [in discretionary trading] may concurrently serve as an associated person that makes investment or trading decisions in collective trust fund business, the offering of securities investment trust funds, the business of offering of futures trust funds to unspecified persons, or trading or investment carried out with the enterprise's own funds.A trust enterprise that concurrently conducts discretionary investment business may keep the trust assets in its own custody; if it keeps the trust assets in its own custody it shall designate a person to be exclusively responsible for handling custodial matters.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第33條
信託業兼營全權委託投資業務，應配置適足、適任之主管及業務人員。
前項辦理研究分析、投資或交易決策之業務人員，不得與買賣執行之業務人員相互兼任，且辦理投資或交易決策之業務人員不得與共同信託基金業務、募集證券投資信託基金業務、對不特定人募集期貨信託基金業務或自有資金之投資或交易決策人員相互兼任。
信託業兼營全權委託投資業務者，得自行保管信託財產；其自行保管者，應指定專責人員辦理。
前項辦理研究分析、投資或交易決策之業務人員，不得與買賣執行之業務人員相互兼任，且辦理投資或交易決策之業務人員不得與共同信託基金業務、募集證券投資信託基金業務、對不特定人募集期貨信託基金業務或自有資金之投資或交易決策人員相互兼任。
信託業兼營全權委託投資業務者，得自行保管信託財產；其自行保管者，應指定專責人員辦理。