Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 18
Responsible persons, associated persons, and other employees of SICEs are also prohibited from doing, in the course of exercising their duties, any act that an enterprise is prohibited from doing under Article 59 of the SITC Act or under any other act, regulation, or contract.Acts done by responsible persons, associated persons, and other employees of SICEs when conducting securities investment consulting business, discretionary investment business, and other relevant business as approved by the FSC, where civil liability is involved, are presumed to be acts within the scope of the authorization by the enterprise.
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18條
證券投資顧問事業之負責人、業務人員及其他受僱人執行業務，對於本法第五十九條或本於法令或契約規定事業不得為之行為，亦不得為之。
證券投資顧問事業之負責人、業務人員及其他受僱人，於從事證券投資顧問業務、全權委託投資業務及其他經本會核准之有關業務之行為涉及民事責任者，推定為該事業授權範圍內之行為。
證券投資顧問事業之負責人、業務人員及其他受僱人，於從事證券投資顧問業務、全權委託投資業務及其他經本會核准之有關業務之行為涉及民事責任者，推定為該事業授權範圍內之行為。