Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 17
If a responsible person or associated person of a SICE is suspected of violating the SITC Act or any other applicable law or regulation, or if there is any inquiry about such person's performance of duties, he/she shall appear before the FSC to give explanations or provide a written report within the period specified by the FSC.
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17條
證券投資顧問事業之負責人與業務人員涉嫌違反本法或其他有關法令，或就執行職務相關事項之查詢，應於本會所定期間內，到會說明或提出書面報告資料。