Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 2
The term "responsible person" as used in these Regulations means a person who shall be held responsible under Article 8 of the Company Act or under any other law.The term "associated person" as used in these Regulations means a person performing any of the following business operations for or on behalf of a securities investment consulting enterprise (SICE):1. Providing analysis, opinions, or recommendations about matters relating to investment or trading in securities, securities-related products, or other items approved by the Financial Supervisory Commission (FSC).2. Engaging in securities investment analysis activities, lecturing/teaching, or publishing.3. Conducting research and analysis, investment decision-making, or trade execution for discretionary investment related business.4. Promoting or soliciting business of discretionary investment or securities investment consulting.5. Engaging in the public offering, sale, or private placement of an offshore fund.6. Conducting internal audit.7. Carrying out legal compliance practices.8. Acting as in-charge accountant.9. Conducting such other business operations as may be approved.
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條
本規則所稱負責人，指依公司法第八條或其他法律之規定應負責之人。
本規則所稱業務人員，指為證券投資顧問事業從事下列業務之人員：
一、對有價證券、證券相關商品或其他經金融監督管理委員會（以下簡稱本會）核准項目之投資或交易有關事項，提供分析意見或推介建議。
二、從事證券投資分析活動、講授或出版。
三、辦理全權委託投資有關業務之研究分析、投資決策或買賣執行。
四、對全權委託投資業務或證券投資顧問業務，為推廣或招攬。
五、辦理境外基金之募集、銷售及私募。
六、內部稽核。
七、法令遵循。
八、主辦會計。
九、辦理其他經核准之業務。
本規則所稱業務人員，指為證券投資顧問事業從事下列業務之人員：
一、對有價證券、證券相關商品或其他經金融監督管理委員會（以下簡稱本會）核准項目之投資或交易有關事項，提供分析意見或推介建議。
二、從事證券投資分析活動、講授或出版。
三、辦理全權委託投資有關業務之研究分析、投資決策或買賣執行。
四、對全權委託投資業務或證券投資顧問業務，為推廣或招攬。
五、辦理境外基金之募集、銷售及私募。
六、內部稽核。
七、法令遵循。
八、主辦會計。
九、辦理其他經核准之業務。