Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 10
The supervisory personnel of the departments set forth in Article 8, paragraph 1, those who oversee those departments or the assistant general managers, deputy assistant general managers, and managers of those departments, and the responsible persons of a securities firm's branch offices and simple branch offices, shall possess one of the following qualifications:1. Graduation from a local or foreign junior college recognized by the Ministry of Education, or an equivalent or higher degree, with 3 years or more of business work experience and a good performance record in a securities, futures, finance, or insurance institution.2. Four years or more of work experience and a good performance record at a securities institution.3. Six years or more of work experience, with a good performance record, in a professional field such as information, technology, law, e-commerce, or digital economy.4. Other academic or work qualifications demonstrating possession of professional knowledge of securities and operations and management experience that would enable sound and effective management of securities firm business.The chief internal auditor of a TWSE listed or TPEx listed securities firm or a securities subsidiary of a financial holding company, in addition to possessing one of the qualifications in the preceding paragraph, shall have an occupational rank equal to an assistant general manager or a position with equivalent duties, and may assume their position only after the candidate is reported to the FSC for review and found to be qualified.For a branch office of a foreign securities firm within the ROC, the supervisory personnel of departments that engage in underwriting, proprietary trading, brokerage trading, clearing and settlement, and internal auditing shall possess the qualifications of the paragraph 1.The provisions of paragraph 1 shall apply mutatis mutandis to positions equivalent to assistant general manager, deputy assistant general manager, or manager under other laws or under the articles of incorporation of the securities firm.
中文原文 證券商負責人與業務人員管理規則第10條
第八條第一項所定部門之主管、督導該部門或各該部門之副總經理、協理、經理、分支機構及簡易分支機構負責人應具備下列資格之一：
一、經教育部承認之國內外專科以上學校畢業或同等學歷，具證券、期貨、金融或保險機構從事業務工作經驗三年以上，成績優良者。
二、證券機構工作經驗四年以上，成績優良者。
三、從事資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗六年以上，成績優良者。
四、有其他學經歷足資證明其具備證券專業知識及經營管理經驗，可健全有效經營證券商業務者。
上市或上櫃證券商及金融控股公司之證券子公司之內部稽核主管，除應具備前項資格條件外，其職位應等同於副總經理或同等職務，並應報經本會審查合格後始得充任。
外國證券商在中華民國境內分支機構之承銷、自行買賣、受託買賣、結算交割及內部稽核等部門之主管，應具備第一項所定之資格。
依其他法律或證券商組織章程規定而與副總經理、協理、經理職責相當者，準用第一項之規定。
一、經教育部承認之國內外專科以上學校畢業或同等學歷，具證券、期貨、金融或保險機構從事業務工作經驗三年以上，成績優良者。
二、證券機構工作經驗四年以上，成績優良者。
三、從事資訊、科技、法律、電子商務或數位經濟等專業領域之工作經驗六年以上，成績優良者。
四、有其他學經歷足資證明其具備證券專業知識及經營管理經驗，可健全有效經營證券商業務者。
上市或上櫃證券商及金融控股公司之證券子公司之內部稽核主管，除應具備前項資格條件外，其職位應等同於副總經理或同等職務，並應報經本會審查合格後始得充任。
外國證券商在中華民國境內分支機構之承銷、自行買賣、受託買賣、結算交割及內部稽核等部門之主管，應具備第一項所定之資格。
依其他法律或證券商組織章程規定而與副總經理、協理、經理職責相當者，準用第一項之規定。