Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises Article 9
A SICE shall register any change in personnel specified in Article 6 with the SITCA within 5 business days from the day following such change. Before completing registration of the change, the SICE shall remain liable for conduct 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9條
第六條之人員有異動者，證券投資顧問事業應於異動次日起五個營業日內，向同業公會登錄。
所屬證券投資顧問事業在辦妥異動登錄前，對各該人員之行為仍不能免責。
所屬證券投資顧問事業在辦妥異動登錄前，對各該人員之行為仍不能免責。