Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 3-1
A department supervisor or branch unit manager of a SICE shall possess leadership ability and the ability to effectively assist in the operation of a SICE, and shall possess one of the following qualifications:1. Meets the securities investment analyst qualifications under Article 4, and also has work experience meeting one of the following criteria:A. 1 year or more of relevant work experience at a qualified institutional investor(s).B. 2 years or more of work experience, with a good performance record, in a professional field such as information, technology, law, e-commerce, or digital economy.2. Has passed an examination for associated persons of securities investment trust and consulting enterprises held by an institution engaged by the Securities Investment Trust and Consulting Association (SITCA), and also has work experience meeting one of the following criteria:A. 2 years or more of relevant work experience at a qualified institutional investor(s).B. 4 years or more of work experience, with a good performance record, in a professional field such as information, technology, law, e-commerce, or digital economy.3. Has passed a senior securities specialist examination held by an institution engaged by a securities dealers association or has obtained certification of passage of such an examination issued by the former competent authority for securities, and also has work experience meeting one of the following criteria:A. 3 years or more of relevant work experience at a qualified institutional investor(s).B. 6 years or more of work experience, with a good performance record, in a professional field such as information, technology, law, e-commerce, or digital economy.4. Has 2 years or more of work experience serving as a manager of domestic or foreign funds.5. Is a graduate of a domestic or foreign school at the level of university or higher recognized by the Ministry of Education or has an equivalent level of education, and has served for 4 years or more as an associated person of one or more securities or futures institutions or trust enterprises.6. Has other academic or work qualifications sufficient to demonstrate possession of professional knowledge of securities and finance, operational experience, and leadership ability.A person who, before the issuance of these Regulations as amended, was already serving in a position referred to in the preceding paragraph may continue to serve in the original position or for the duration of the original term, without being subject to the restrictions of the preceding paragraph.A person who is promoted or assigned to one of the positions referred to in paragraph 1 after the issuance of these Regulations as amended, shall possess or meet the qualifications set out in paragraph 1; those who do not meet those qualifications may not serve in that position, and the SITCA shall void the registration of that person.
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3-1條
證券投資顧問事業之部門主管及分支機構經理人，應具備領導及有效輔佐經營證券投資顧問事業之能力，並應具備下列資格之一：
一、符合第四條所定證券投資分析人員資格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗一年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗二年以上，成績優良。
二、經中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）委託機構舉辦之證券投資信託及顧問事業之業務員測驗合格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗二年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗四年以上，成績優良。
三、經證券商同業公會委託機構舉辦之證券商高級業務員測驗合格，或已取得原證券主管機關核發之證券商高級業務員測驗合格證書，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗三年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗六年以上，成績優良。
四、曾擔任國內、外基金經理人工作經驗二年以上。
五、經教育部承認之國內外大學以上學校畢業或具有同等學歷，擔任證券、期貨機構或信託業之業務人員四年以上。
六、有其他學經歷足資證明其具備證券金融專業知識、經營經驗及領導能力。
本規則修正發布前，已擔任前項職務之人員，得於原職務或任期內續任之，不受前項規定之限制。
第一項人員於本規則修正發布後升任或充任者，應具備或符合第一項所定資格條件；不符者，不得充任，並由同業公會撤銷其登錄。
一、符合第四條所定證券投資分析人員資格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗一年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗二年以上，成績優良。
二、經中華民國證券投資信託暨顧問商業同業公會（以下簡稱同業公會）委託機構舉辦之證券投資信託及顧問事業之業務員測驗合格，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗二年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗四年以上，成績優良。
三、經證券商同業公會委託機構舉辦之證券商高級業務員測驗合格，或已取得原證券主管機關核發之證券商高級業務員測驗合格證書，並具下列工作經驗之一：
（一）具專業投資機構相關工作經驗三年以上。
（二）具資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗六年以上，成績優良。
四、曾擔任國內、外基金經理人工作經驗二年以上。
五、經教育部承認之國內外大學以上學校畢業或具有同等學歷，擔任證券、期貨機構或信託業之業務人員四年以上。
六、有其他學經歷足資證明其具備證券金融專業知識、經營經驗及領導能力。
本規則修正發布前，已擔任前項職務之人員，得於原職務或任期內續任之，不受前項規定之限制。
第一項人員於本規則修正發布後升任或充任者，應具備或符合第一項所定資格條件；不符者，不得充任，並由同業公會撤銷其登錄。