Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 4
A person serving as a securities investment analyst of a SICE shall possess one of the following qualifications:1. Has passed a qualification examination for securities investment analysts held by an institution engaged by the SITCA.2. Is certified abroad as a securities analyst, has 2 years or more of practical experience, has passed an examination on laws and regulations (legal compliance) for associated persons of securities investment trust and consulting enterprises held by an institution engaged by the SITCA, and has been approved by the SITCA.3. Has obtained certification as a securities investment analyst prior to 31 October 2004.Matters relating to the examinations and approval referred to in subparagraphs 1 and 2 of the preceding paragraph shall be prescribed by the SITCA and implemented after ratification by the FSC; the same shall also apply to any amendments thereto.
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4條
擔任證券投資顧問事業證券投資分析人員，應具備下列資格之一：
一、參加同業公會委託機構舉辦之證券投資分析人員測驗合格者。
二、在外國取得證券分析師資格，具有二年以上實際經驗，經同業公會委託機構舉辦之證券投資信託及顧問事業業務員之法規測驗合格，並經同業公會認可者。
三、九十三年十月三十一日前，已取得證券投資分析人員資格者。
前項第一款、第二款之測驗及認可事項，由同業公會擬訂，申報本會核定後實施；修正時，亦同。
一、參加同業公會委託機構舉辦之證券投資分析人員測驗合格者。
二、在外國取得證券分析師資格，具有二年以上實際經驗，經同業公會委託機構舉辦之證券投資信託及顧問事業業務員之法規測驗合格，並經同業公會認可者。
三、九十三年十月三十一日前，已取得證券投資分析人員資格者。
前項第一款、第二款之測驗及認可事項，由同業公會擬訂，申報本會核定後實施；修正時，亦同。