Regulations Governing Securities Dealers Associations Article 2
The term "associated person" means any employee hired by a securities dealers association to handle any of the following matters:1. The adoption, amendment, or implementation of operating rules and bylaws governing operational matters related to the securities market.2. The inspection and management of the finances or business operations of the members.3. Securities market research, analysis, promotion, mediation, education, and public awareness activities.4. Matters related to the membership of the members, and the registration and administration of responsible persons and associated persons of the members.5. Matters related to the testing, training, and administration of the associated persons of securities firms.6. Other matters related to the promotion of Association affairs and business.An associated person as described in the preceding paragraph may not fall into any category specified in any subparagraph of Article 53 of the Act, and in addition shall meet one of the following qualifications:1. To have obtained qualification as a securities firm’s agent or senior agent under the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.2. To have obtained qualification as a securities investment analyst under the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.An associated person who has been engaging in duties listed in paragraph 1 before the enforcement of the amendments to these Regulations, and who has not yet obtained the qualification as required under the preceding paragraph, shall obtain such qualification within one year after the date of enforcement of the amendments.
中文原文 證券商同業公會業務管理規則第2條
本規則所稱業務人員，係指由證券商同業公會聘僱辦理下列事項之工作人員：
一、證券市場相關業務規章之訂定、修正及執行。
二、對會員財務、業務之查察與管理。
三、證券市場研究、分析、推廣、調處、教育及宣導。
四、會員之會籍、負責人與業務人員登錄及管理事項。
五、證券商業務人員測驗、訓練與管理事項。
六、其他推動會務、業務相關事項。
前項業務人員除不得有本法第五十三條所定各款之情事外，並應具備下列資格之一：
一、依證券商負責人與業務人員管理規則規定，取得證券商業務員或高級業務員資格。
二、依證券投資顧問事業負責人與業務人員管理規則規定，取得證券投資分析人員資格。
本規則修正施行前已從事第一項所列業務而尚未依前項規定取得資格者，應自修正施行之日起一年內取得資格。
一、證券市場相關業務規章之訂定、修正及執行。
二、對會員財務、業務之查察與管理。
三、證券市場研究、分析、推廣、調處、教育及宣導。
四、會員之會籍、負責人與業務人員登錄及管理事項。
五、證券商業務人員測驗、訓練與管理事項。
六、其他推動會務、業務相關事項。
前項業務人員除不得有本法第五十三條所定各款之情事外，並應具備下列資格之一：
一、依證券商負責人與業務人員管理規則規定，取得證券商業務員或高級業務員資格。
二、依證券投資顧問事業負責人與業務人員管理規則規定，取得證券投資分析人員資格。
本規則修正施行前已從事第一項所列業務而尚未依前項規定取得資格者，應自修正施行之日起一年內取得資格。