Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 5-1
An associated person of a SICE who performs an internal audit or legal compliance function shall possess one of the following qualifications:1. Is qualified as a securities investment analyst in accordance with Article 4, paragraph 1.2. Has passed an examination for associated persons of securities investment trust and consulting enterprises administered by an institution engaged by the SITCA, and has 1 year or more of securities, futures, or trust-related work experience at a qualified institutional investor(s).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 2 years or more of securities, futures, or trust-related work experience at a qualified institutional investor(s).4. Has 1 year 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 3 years or more as an associated person of one or more securities or futures institutions or trust enterprises.6. 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 2 years or more of audit work experience at a joint CPA firm meeting the conditions required by the Regulations Governing Approval of Certified Public Accountants to Audit and Certify Financial Reports of Public Companies, and also has passed the examination specified in subparagraph 2 or 3.7. Possesses the qualifications in Article 5, subparagraph 1 or 2 of the Regulations for the Senior Examination for Professional and Technical Personnel: Lawyer, and has 2 years or more of legal work experience in the field of securities or futures at a law firm, and also has passed the examination specified in subparagraph 2 or 3.The definition "qualified institutional investor" as referred to in Articles 3, 3-1, and subparagraphs 2 and 3 of the preceding paragraph, and their scope of its work, shall be as announced by the FSC.A SICE employee engaging in internal audit business may not engage in any business outside the scope of his/her registered work activities. Not withstanding the foregoing, the position of internal auditor for securities investment consulting business that is concurrently operated by an enterprise in another line of business may be concurrently held by a registered internal auditor of such enterprise.
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5-1條
證券投資顧問事業從事內部稽核及法令遵循之業務人員，應具備下列資格之一：
一、依第四條第一項規定取得證券投資分析人員資格。
二、經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，並在專業投資機構從事證券、期貨或信託相關工作經驗一年以上。
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，並在專業投資機構從事證券、期貨或信託相關工作經驗二年以上。
四、曾擔任國內、外基金經理人工作經驗一年以上。
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三年以上。
六、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，並在符合「會計師辦理公開發行公司財務報告查核簽證核准準則」規定條件之聯合會計師事務所從事審計工作經驗二年以上，且經第二款或第三款所定之測驗合格。
七、具有「專門職業及技術人員高等考試律師考試規則」第五條第一款或第二款資格，並在律師事務所從事證券、期貨相關法律事務工作經驗二年以上，且經第二款或第三款所定之測驗合格。
第三條、第三條之一、前項第二款及第三款所定專業投資機構之範圍及其工作項目，由本會公告。
證券投資顧問事業從事內部稽核業務之人員，不得辦理登錄範圍以外之業務。
但他業兼營之內部稽核人員，得由他業登錄之內部稽核人員兼任之。
一、依第四條第一項規定取得證券投資分析人員資格。
二、經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，並在專業投資機構從事證券、期貨或信託相關工作經驗一年以上。
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，並在專業投資機構從事證券、期貨或信託相關工作經驗二年以上。
四、曾擔任國內、外基金經理人工作經驗一年以上。
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三年以上。
六、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，並在符合「會計師辦理公開發行公司財務報告查核簽證核准準則」規定條件之聯合會計師事務所從事審計工作經驗二年以上，且經第二款或第三款所定之測驗合格。
七、具有「專門職業及技術人員高等考試律師考試規則」第五條第一款或第二款資格，並在律師事務所從事證券、期貨相關法律事務工作經驗二年以上，且經第二款或第三款所定之測驗合格。
第三條、第三條之一、前項第二款及第三款所定專業投資機構之範圍及其工作項目，由本會公告。
證券投資顧問事業從事內部稽核業務之人員，不得辦理登錄範圍以外之業務。
但他業兼營之內部稽核人員，得由他業登錄之內部稽核人員兼任之。