Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 3
Associated persons of securities firms are classified into the following two categories in accordance with the complexity and degree of responsibility of their duties:1. Senior agent: A person who supervises a department or who is a responsible person of a securities firm's branch office or simple branch office, or is engaged in duties such as investment analysis or internal auditing, as described in Article 8, paragraph 1.2. Agent: A person who engages in duties such as underwriting, proprietary trading, or brokerage trading of securities, or who is an internal auditor or an in-charge accountant, as described in the subparagraphs of paragraph 2 of the preceding article.Only a person who is trained and certified by the internal auditor training program of an institution accredited by the Financial Supervisory Commission (FSC) may engage in internal auditing as provided in subparagraph 2 of the preceding paragraph.
中文原文 證券商負責人與業務人員管理規則第3條
證券商之業務人員，依其職務之繁簡難易、責任輕重，分為下列二種：
一、高級業務員：擔任第八條第一項之部門主管、分支機構及簡易分支機構負責人、投資分析或內部稽核等職務者。
二、業務員：從事前條第二項各款有價證券承銷、自行買賣、受託買賣、內部稽核或主辦會計等職務者。
前項第二款業務員擔任內部稽核職務者，以參加金融監督管理委員會（以下簡稱本會）所認可機構舉辦之內部稽核人員訓練班受訓及格結業者為限。
一、高級業務員：擔任第八條第一項之部門主管、分支機構及簡易分支機構負責人、投資分析或內部稽核等職務者。
二、業務員：從事前條第二項各款有價證券承銷、自行買賣、受託買賣、內部稽核或主辦會計等職務者。
前項第二款業務員擔任內部稽核職務者，以參加金融監督管理委員會（以下簡稱本會）所認可機構舉辦之內部稽核人員訓練班受訓及格結業者為限。