Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 2-1
A SICE's board of directors is responsible for the appointment of managerial officers and shall scrupulously review to ensure that the managerial officers meet the qualification requirements. The board of directors is also responsible for overseeing the maintenance of qualifications by managerial officers and the suitability of managerial officers in their positions.The board of directors shall scrupulously oversee the company's implementation of the accountability of managerial officers, establish related systems, and include them in the assessment of the suitability of managerial officers.
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2-1條
證券投資顧問事業董事會負有選任經理人之責任，應確實審核經理人應具備之資格條件，並就經理人資格條件之維持與適任性，負監督之責。
董事會應確實督導公司落實經理人之問責，並建立相關制度，及納入經理人適任性之評估。
董事會應確實督導公司落實經理人之問責，並建立相關制度，及納入經理人適任性之評估。