Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 6
Unless otherwise provided by a law or regulation, the general manager, department supervisors, branch unit managers, and associated persons of a SICE shall serve as full-time employees. Before such personnel begin performing their duties, they shall be registered with the SITCA by the employing SICE; no such person may engage in business unless they have been registered.Registration under the preceding paragraph shall be prohibited under any of the following circumstances; if registration has already been made, it shall be voided:1. Any circumstance set out in Article 68 of the SITC Act.2. Failure to meet the qualification requirements set out hereunder.3. Violation of Article 7.
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6條
證券投資顧問事業之總經理、部門主管、分支機構經理人及業務人員，除法令另有規定外，應為專任；其於執行職務前，應由所屬證券投資顧問事業向同業公會登錄，非經登錄，不得執行業務。
有下列情事之一，不得為前項之登錄；已登錄者，應予撤銷：
一、有本法第六十八條規定之情事。
二、不符合本規則所定之資格條件。
三、違反第七條規定。
有下列情事之一，不得為前項之登錄；已登錄者，應予撤銷：
一、有本法第六十八條規定之情事。
二、不符合本規則所定之資格條件。
三、違反第七條規定。