Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 19
Where a responsible person or associated person of a SICE has done any of the following, the FSC will give the person a reward or commendation:1. Made significant accomplishments contributing to the sound administration and development of securities investment consulting business and discretionary investment business, and promoted integrated management in the asset management services market.2. Done research writing that contributed creative ideas regarding the development of securities investment consulting business or the execution of securities investment consulting business, and the ideas have been adopted and implemented.3. Reported illegality in the market which has been proved to be true.4. Made concrete achievements through zealous service of the public interest and the exercise of team spirit.5. Other achievements that merit commendation.
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19條
證券投資顧問事業之負責人與業務人員，有下列情事之一，由本會予以獎勵或表揚：
一、對健全證券投資顧問業務與全權委託投資業務之經營與發展，增進資產管理服務市場之整合管理具有顯著績效者。
二、研究著述，對發展證券投資顧問業務或執行證券投資顧問業務具有創意，經採行者。
三、舉發市場不法違規事項，經查明屬實者。
四、熱心公益，發揮團隊精神有具體事蹟者。
五、其他有足資表揚之事蹟者。
一、對健全證券投資顧問業務與全權委託投資業務之經營與發展，增進資產管理服務市場之整合管理具有顯著績效者。
二、研究著述，對發展證券投資顧問業務或執行證券投資顧問業務具有創意，經採行者。
三、舉發市場不法違規事項，經查明屬實者。
四、熱心公益，發揮團隊精神有具體事蹟者。
五、其他有足資表揚之事蹟者。