Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 2

Law:: Regulations Governing Responsible Persons and Associated Persons of Securities Firms
Chinese:: 證券商負責人與業務人員管理規則第2條

The term "responsible person" as used in these Regulations shall be defined in accordance with Article 8 of the Company Act.The term "associated persons" as used in these Regulations means persons who engage in the following businesses for a securities firm:1. Securities investment analysis, internal auditing, self-auditing, legal compliance, or in-charge accountant.2. Liaison or execution of securities underwriting and trading.3. Proprietary securities trading, clearing and settlement, or agency for shareholder services.4. Account opening, credit searches, solicitation, recommendation, brokerage order taking, filing, clearing, settlement, or receipt, payment, and safekeeping of cash and stocks, in connection with securities trading.5. Margin purchases or short sales in securities trading.6. Derivatives trading.7. Risk management.8. Conducting other approved business.Responsible persons and associated persons of the overseas branch of a securities firm shall abide by the local laws and regulations governing securities in the country where they conduct business. With the exception of Article 12, Article 13, and Article 18, paragraph 1, these Regulations shall not apply.

中文原文證券商負責人與業務人員管理規則第2條

本規則所稱負責人，依公司法第八條之規定。
本規則所稱業務人員，指為證券商從事下列業務之人員：
一、有價證券投資分析、內部稽核、自行查核、法令遵循或主辦會計。
二、有價證券承銷、買賣之接洽或執行。
三、有價證券自行買賣、結算交割或代辦股務。
四、有價證券買賣之開戶、徵信、招攬、推介、受託、申報、結算、交割或為款券收付、保管。
五、有價證券買賣之融資融券。
六、衍生性金融商品之操作。
七、風險管理。
八、辦理其他經核准之業務。
證券商國外分支機構之負責人及業務人員，於當地執行業務應遵守當地證券管理法令之規定。
除第十二條、第十三條及第十八條第一項外，不適用本規則之規定。

English translation for reference only; the Chinese text prevails. Not legal advice.