Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 13
In the event of any change of responsible person or associated person, the securities firm shall file for registration of the change with the Stock Exchange, Securities Association, or Taipei Exchange within 5 days after the change, as specified below. The securities firm shall not be released from liability for the actions of such persons before completion of the registration.1. File for the purpose of an amendment registration in the event of any job transfer or promotion of a responsible person or associated person of a securities firm.2. File for the purpose of canceling a registration in the event of the death, resignation, layoff, dismissal, severance, or retirement of a responsible person or associated person of a securities firm, or a circumstance set out in Article 17.3. File for the purpose of voiding a registration when the dismissal of a responsible person or associated person is ordered by the FSC in accordance with the Act, or the registration of the person falls under any circumstance in paragraph 3 of the preceding article.Registration of any change in a responsible person or associated person of an overseas branch of a securities firm shall be performed within 10 days after the change.By the 15th day of each month, the Stock Exchange, Securities Association or Taipei Exchange shall compile the particulars of changes to registrations as referred to in the preceding paragraph for the previous month and report them to the FSC for recordation.A securities firm shall file with the Stock Exchange, Securities Association, or Taipei Exchange for approval and recordation in advance before any change under paragraph 1 may be made with respect to an internal auditing associated person of the securities firm.
中文原文 證券商負責人與業務人員管理規則第13條
證券商負責人及業務人員有異動者，證券商應於異動後五日內依下列規定，向證券交易所、證券商業同業公會或證券櫃檯買賣中心申報登記。
所屬證券商在辦妥異動之登記前，對各該人員之行為仍不能免責：
一、證券商內部因負責人或業務人員職務調動、升遷等，為變更登記。
二、證券商負責人或業務人員死亡、辭職、解僱、解任、資遣、退休或有第十七條規定等情事者，為註銷登記。
三、證券商負責人或業務人員，經本會依本法命令解除其職務，或其登記有前條第三項所列各款之情事者，為撤銷登記。
前項負責人及業務人員之異動登記，如係證券商國外分支機構，其申報登記應於異動後十日內為之。
證券交易所、證券商業同業公會或證券櫃檯買賣中心對前項之登記，應於每月十五日前將上月之異動情形彙總轉報本會備查。
第一項證券商內部稽核業務人員之異動，所屬證券商應於異動前，先申請證券交易所、證券商業同業公會或證券櫃檯買賣中心核備後，始得異動之。
所屬證券商在辦妥異動之登記前，對各該人員之行為仍不能免責：
一、證券商內部因負責人或業務人員職務調動、升遷等，為變更登記。
二、證券商負責人或業務人員死亡、辭職、解僱、解任、資遣、退休或有第十七條規定等情事者，為註銷登記。
三、證券商負責人或業務人員，經本會依本法命令解除其職務，或其登記有前條第三項所列各款之情事者，為撤銷登記。
前項負責人及業務人員之異動登記，如係證券商國外分支機構，其申報登記應於異動後十日內為之。
證券交易所、證券商業同業公會或證券櫃檯買賣中心對前項之登記，應於每月十五日前將上月之異動情形彙總轉報本會備查。
第一項證券商內部稽核業務人員之異動，所屬證券商應於異動前，先申請證券交易所、證券商業同業公會或證券櫃檯買賣中心核備後，始得異動之。