Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 5
An associated person of a SICE conducting business activities set out in Article 2, paragraph 2, subparagraphs 1 to 5 shall possess one of the qualifications listed below, and an investment manager conducting discretionary investment business shall further meet the qualifications set out in Article 5-3:1. Is qualified as a securities investment analyst in accordance with paragraph 1 of the preceding article.2. Has passed an examination for associated persons of securities investment trust and consulting enterprises administered by an institution engaged by the SITCA.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.4. Has 1 year or more of work experience serving as a manager of domestic or foreign funds.5. Has passed a professional examination on trust business held by a trust association or a professional financial training institute recognized by a trust association, and has also passed an examination, held by an institution engaged by the SITCA, on laws and regulations (legal compliance) pertaining to securities investment trust and consulting.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 served for 3 years or more as an associated person of one or more securities or futures institutions or trust enterprises.A SICE employee engaging in securities investment analysis in any mass media shall possess the qualifications in at least one of the subparagraphs of paragraph 1 of the preceding article.Where a SICE employee who is already engaged in securities investment analysis in any mass media before the adoption and issuance of these Regulations does not comply with these Regulations, the employee shall achieve compliance within 3 years from the date of issuance hereof, or, failing which, the employee may not engage in securities investment analysis in any mass media.A person who, in the position of associated person, was promoting, soliciting, or assisting in the conduct of discretionary investment business or securities investment consulting business before the issuance of these Regulations as amended, shall obtain one of the qualifications set out hereunder within 2 years following the date of amendment and issuance, failing which the person 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5條
證券投資顧問事業從事第二條第二項第一款至第五款之業務人員，除從事全權委託投資業務之投資經理人應符合第五條之三所定資格外，應具備下列資格之一：
一、依前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。
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。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、信託業公會或其認可金融專業訓練機構舉辦之信託業務專業測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問事業法規測驗合格。
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，擔任證券、期貨機構或信託業之業務人員三年以上。
證券投資顧問事業於各種傳播媒體從事證券投資分析之人員，應具備前條第一項各款資格條件之一。
本規則訂定發布前，已於各種傳播媒體從事證券投資分析之人員，與本規則之規定不符者，應於發布日起三年內辦理補正，屆期未完成補正者，不得於各種傳播媒體從事證券投資分析。
本規則修正發布前，對全權委託投資業務或證券投資顧問業務為推廣、招攬或協助辦理之業務人員，應於修正發布日起二年內取得本規則所定資格之一，屆期未完成補正者，不得充任，並由同業公會撤銷其登錄。
一、依前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。
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。
四、曾擔任國內、外基金經理人工作經驗一年以上。
五、信託業公會或其認可金融專業訓練機構舉辦之信託業務專業測驗合格者，並經同業公會委託機構舉辦之證券投資信託及顧問事業法規測驗合格。
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，擔任證券、期貨機構或信託業之業務人員三年以上。
證券投資顧問事業於各種傳播媒體從事證券投資分析之人員，應具備前條第一項各款資格條件之一。
本規則訂定發布前，已於各種傳播媒體從事證券投資分析之人員，與本規則之規定不符者，應於發布日起三年內辦理補正，屆期未完成補正者，不得於各種傳播媒體從事證券投資分析。
本規則修正發布前，對全權委託投資業務或證券投資顧問業務為推廣、招攬或協助辦理之業務人員，應於修正發布日起二年內取得本規則所定資格之一，屆期未完成補正者，不得充任，並由同業公會撤銷其登錄。