Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 11-2
A responsible person of a securities firm or their spouse who serves as a director, supervisor, or managerial officer or who holds 5 percent or more of the total issued shares of a public company may not participate in the policy decision-making of the securities firm in any business relating to that public company.The calculation of shares held by a person referred to in the preceding paragraph shall include shares held under the names of the person's spouse and minor children, and those held under the names of any other persons.
中文原文 證券商負責人與業務人員管理規則第11-2條
證券商之負責人或其配偶有擔任公開發行公司之董事、監察人、經理人或為持有已發行股份總數百分之五以上股份之股東者，於證券商從事與該公開發行公司有關業務時，不得參與決策之訂定。
前項之人持有之股份，包括其配偶、未成年子女及利用他人名義持有者。
前項之人持有之股份，包括其配偶、未成年子女及利用他人名義持有者。