Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 19
If a responsible person or associated person of a securities firm is is suspected of violating a securities law or regulation or is subject to an inquiry regarding the performance of their duties, they shall appear before the FSC to provide explanations or submit written reports and materials within the time period set by the FSC.
中文原文 證券商負責人與業務人員管理規則第19條
證券商負責人或業務人員涉嫌違反證券管理法令或就執行職務相關事項之查詢，應於本會所訂期間內，到會說明或提出書面報告資料。