Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 15-1
A responsible person, a department supervisor, a branch unit manager, a staff member who provides analysis/opinions or recommendations/suggestions to customers or unspecified persons, an investment manager, or an employee having knowledge of relevant securities investment information, of a SICE shall report to the employing SICE on the circumstances in which and if such a person, the person's spouse or minor child, or a nominee through whom the person holds shares, has traded in corporate stocks or equity derivatives.The scope of information to be reported pursuant to the preceding paragraph, and of eligible investment instruments, and any amendments thereto, shall be determined by the SITCA and submitted to the FSC for approval.
中文原文 證券投資顧問事業負責人與業務人員管理規則第15-1條
證券投資顧問事業之負責人、部門主管、分支機構經理人、對客戶或不特定人提供分析意見或推介建議之人、投資經理人或知悉相關證券投資資訊之從業人員，其本人、配偶、未成年子女及利用他人名義持有者，從事股票及具股權性質之衍生性商品交易，應向所屬證券投資顧問事業申報交易情形。
前項應申報之資料範圍及投資標的，由同業公會擬訂，報本會核定；修正時，亦同。
前項應申報之資料範圍及投資標的，由同業公會擬訂，報本會核定；修正時，亦同。