Regulations Governing Securities Finance Enterprises Article 65
The directors, supervisors, managers and business personnel of securities finance enterprises shall not engage in the following actions:1.Engaging in securities trading directly or indirectly based on the information learned from the position.2.Disclosing secrets learned as a result of their positions, except in response to a legal inquiry.3.False, deceptive, and other kinds of acts which are sufficient to mislead others in handling the business in Article 5.4.Other violations of laws or regulations.A securities finance enterprise shall have one general manager, who shall be responsible for the overall administration of the business operations of the entire company, and it may not have any other person in an equivalent position.The chairman of a securities finance enterprise may not concurrently serve as the general manager. However, this restriction does not apply if any of the following circumstances exists and if approval has been obtained from the Financial Supervisory Commission (FSC):1.The securities finance enterprise will cease to exist as a result of dissolution or merger, and the chairman or general manager has resigned or has been removed from his or her duties by order of the FSC.2.The securities finance enterprise's business permission was voided by the FSC, and the chairman or general manager has resigned or has been removed from his or her duties by order of the FSC.3.Any other special cause.
中文原文 證券金融事業管理規則第65條
證券金融事業之董事、監察人、經理人及業務人員，不得有下列行為：
一、以職務上所知悉之消息，直接或間接從事有價證券買賣。
二、非應依法令所為之查詢，洩漏職務上所獲悉之秘密。
三、辦理第五條之業務，有虛偽、詐欺或其他足致他人誤信之行為。
四、其他違反法令情事。
證券金融事業應置總經理一人，負責綜理全公司之業務，且不得有其他職責相當之人。
證券金融事業之董事長不得兼任總經理。
但有下列情形之一，經本會核准者，不在此限：
一、證券金融事業將因解散、合併而消滅，且該事業之董事長、總經理有辭職或經本會命令解除職務。
二、證券金融事業經本會撤銷營業許可，且該事業之董事長、總經理有辭職或經本會命令解除職務。
三、其他特殊事由。
一、以職務上所知悉之消息，直接或間接從事有價證券買賣。
二、非應依法令所為之查詢，洩漏職務上所獲悉之秘密。
三、辦理第五條之業務，有虛偽、詐欺或其他足致他人誤信之行為。
四、其他違反法令情事。
證券金融事業應置總經理一人，負責綜理全公司之業務，且不得有其他職責相當之人。
證券金融事業之董事長不得兼任總經理。
但有下列情形之一，經本會核准者，不在此限：
一、證券金融事業將因解散、合併而消滅，且該事業之董事長、總經理有辭職或經本會命令解除職務。
二、證券金融事業經本會撤銷營業許可，且該事業之董事長、總經理有辭職或經本會命令解除職務。
三、其他特殊事由。