Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 12
The responsible persons and associated persons of a securities firm shall be registered by their firm with the Stock Exchange, Securities Association, or Taipei Exchange before performing their duties, and may not perform their duties without such registration.If a securities firm will employ, to engage in any business other than the business under the subparagraphs of Article 2, paragraph 2, any person who has been dismissed from a position within the past 3 years by an order of the FSC pursuant to the Act, the securities firm shall file with the Stock Exchange for registration of that person before employing them.Under any of the following circumstances, the Stock Exchange, Securities Association, or Taipei Exchange shall refuse to grant a registration, and shall void a registration that has already been made:1. A responsible person of a securities firm falls under any circumstance in Article 30 of the Company Act or Article 53 of the Act.2. An associated person of a securities firm falls under any circumstance in paragraph 1 of Article 54 of the Act or fails to meet the qualifications in Article 5 or 6 herein.By the 15th day of each month, the Stock Exchange, Securities Association or Taipei Exchange shall report the status for the previous month of the registrations under the preceding three paragraphs for recordation by the FSC.
中文原文 證券商負責人與業務人員管理規則第12條
證券商負責人及業務人員於執行職務前，應由所屬證券商向證券交易所、證券商業同業公會或證券櫃檯買賣中心辦理登記，非經登記不得執行業務。
證券商僱用經本會依本法規定命令解除職務未滿三年之人員，從事第二條第二項各款以外業務者，應向證券交易所申報登記後，始得為之。
證券交易所、證券商業同業公會或證券櫃檯買賣中心，對有下列情事之一者，應不予登記；已登記者，應予撤銷：
一、證券商負責人有公司法第三十條或本法第五十三條規定之情事者。
二、證券商業務人員有本法第五十四條第一項規定之情事或不符合第五條及第六條所定之資格條件者。
證券交易所、證券商業同業公會或證券櫃檯買賣中心對於前三項之登記，應於每月十五日前將上月之登記情形彙總轉報本會備查。
證券商僱用經本會依本法規定命令解除職務未滿三年之人員，從事第二條第二項各款以外業務者，應向證券交易所申報登記後，始得為之。
證券交易所、證券商業同業公會或證券櫃檯買賣中心，對有下列情事之一者，應不予登記；已登記者，應予撤銷：
一、證券商負責人有公司法第三十條或本法第五十三條規定之情事者。
二、證券商業務人員有本法第五十四條第一項規定之情事或不符合第五條及第六條所定之資格條件者。
證券交易所、證券商業同業公會或證券櫃檯買賣中心對於前三項之登記，應於每月十五日前將上月之登記情形彙總轉報本會備查。