Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 7
The general manager of a SICE may not concurrently serve as a supervisor of a department dedicated to discretionary investment business, a discretionary investment manager, or a trading decision maker for discretionary futures trading.Where an enterprise in another line of business concurrently conducts securities investment consulting business or discretionary investment business, the supervisory and associated persons of the department dedicated to such business, established as required by law, may not handle business beyond the scope of the dedicated department, nor may their functions be performed by any department supervisor or associated person, unless the requirements of paragraphs 3 to 5 are met..Where an enterprise in another line of business concurrently conducts discretionary investment business, the associated persons engaged in investment or trading decision-making for that business may serve concurrently as personnel engaged in investment or trading decision-making with respect to private placement of securities investment trust funds, offering of futures trust funds to persons meeting certain eligibility requirements, or discretionary futures trading.When an enterprise in another line of business concurrently conducting discretionary investment business meets the following requirements, the associated persons engaged in investment or trading decision-making for that business may serve concurrently as personnel engaged in securities investment analysis for its concurrently conducted securities investment consulting business, and vice versa:1. The customers of the discretionary investment business or securities investment consulting business are qualified institutional investors as specified in Article 4, paragraph 2 of the Financial Consumer Protection Act.2. The internal control system of the enterprise has already adopted operational directions for effective prevention of conflict of interests in order to ensure fair treatment of all clients.Personnel engaging in securities investment analysis in an enterprise in another line of business that concurrently conducts securities investment consulting business, or personnel engaging in investment or trading decision-making in an enterprise in another line of business that concurrently conducts discretionary investment business, if they meet the requirements of Article 8, paragraph 6 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises, may serve concurrently as personnel engaged in investment or trading decision-making in connection with the offering of securities investment trust funds, and vice versa.If the SICE currently operates securities investment trust business, none of its associated persons may concurrently engage in securities investment analysis while performing a function empowered to make investment or trading decisions for the currently operated securities investment trust business, or vice versa, unless the requirements of Article 8, paragraph 6 of the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises are met.Unless otherwise provided by a law or regulation, a director, supervisor, or managerial officer of a SICE may not invest in another SICE, or concurrently serve as a director, supervisor, or managerial officer of another SICE, or of a securities investment trust enterprise (SITE) or securities firm.
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7條
證券投資顧問事業之總經理不得兼為全權委託專責部門主管、全權委託投資經理人或全權委託期貨交易業務之交易決定人員。
他業兼營證券投資顧問業務或全權委託投資業務，依法應設置專責部門者，其專責部門之部門主管及業務人員，除符合第三項至第五項規定外，不得辦理專責部門以外之業務，或由非登錄專責部門主管或業務人員兼辦。
他業兼營全權委託投資業務者，其辦理投資或交易決策之業務人員得兼任私募證券投資信託基金、對符合一定資格條件之人募集期貨信託基金或全權委託期貨交易業務之投資或交易決策人員。
他業兼營全權委託投資業務符合下列條件者，其辦理投資或交易決策之業務人員，得與其兼營證券投資顧問業務從事證券投資分析之人員相互兼任：
一、全權委託投資業務及證券投資顧問業務之客戶為金融消費者保護法第四條第二項所定之專業投資機構。
二、該事業之內部控制制度已訂定有效防範利益衝突之作業原則，以確保公平對待所有客戶。
他業兼營證券投資顧問業務從事證券投資分析之人員或他業兼營全權委託投資業務辦理投資或交易決策之業務人員，符合證券投資信託事業負責人與業務人員管理規則第八條第六項規定者，得與募集證券投資信託基金之投資或交易決策人員相互兼任。
證券投資顧問事業兼營證券投資信託業務從事證券投資分析之人員，除符合證券投資信託事業負責人與業務人員管理規則第八條第六項規定者外，不得與兼營證券投資信託業務辦理投資或交易決策之業務人員相互兼任。
證券投資顧問事業之董事、監察人或經理人，除法令另有規定外，不得投資於其他證券投資顧問事業，或兼為其他證券投資顧問事業、證券投資信託事業或證券商之董事、監察人或經理人。
他業兼營證券投資顧問業務或全權委託投資業務，依法應設置專責部門者，其專責部門之部門主管及業務人員，除符合第三項至第五項規定外，不得辦理專責部門以外之業務，或由非登錄專責部門主管或業務人員兼辦。
他業兼營全權委託投資業務者，其辦理投資或交易決策之業務人員得兼任私募證券投資信託基金、對符合一定資格條件之人募集期貨信託基金或全權委託期貨交易業務之投資或交易決策人員。
他業兼營全權委託投資業務符合下列條件者，其辦理投資或交易決策之業務人員，得與其兼營證券投資顧問業務從事證券投資分析之人員相互兼任：
一、全權委託投資業務及證券投資顧問業務之客戶為金融消費者保護法第四條第二項所定之專業投資機構。
二、該事業之內部控制制度已訂定有效防範利益衝突之作業原則，以確保公平對待所有客戶。
他業兼營證券投資顧問業務從事證券投資分析之人員或他業兼營全權委託投資業務辦理投資或交易決策之業務人員，符合證券投資信託事業負責人與業務人員管理規則第八條第六項規定者，得與募集證券投資信託基金之投資或交易決策人員相互兼任。
證券投資顧問事業兼營證券投資信託業務從事證券投資分析之人員，除符合證券投資信託事業負責人與業務人員管理規則第八條第六項規定者外，不得與兼營證券投資信託業務辦理投資或交易決策之業務人員相互兼任。
證券投資顧問事業之董事、監察人或經理人，除法令另有規定外，不得投資於其他證券投資顧問事業，或兼為其他證券投資顧問事業、證券投資信託事業或證券商之董事、監察人或經理人。