Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 4
Associated persons of a securities firm may not concurrently hold any position at another securities firm either domestically or in a foreign country. This, however, does not apply to legal compliance, internal auditors, risk management personnel, or in-charge accountant of the securities firm concurrently holding a position of the same nature at a securities affiliate enterprise in a foreign country.An affiliate enterprise as referred to in the preceding paragraph shall be governed by the Affiliated Enterprises chapter of the Company Act.The following associated persons of a securities firm may not engage in business beyond the scope for which they are registered, nor may their business be concurrently performed by other associated persons, unless otherwise prescribed in other laws or regulations:1. Associated persons engaged in proprietary trading of securities.2. Internal auditors.3. Risk management personnel.Persons engaged in the business of brokerage trading of securities, and persons charged with consulting in connection with asset allocation or financial planning or services in connection with the sale of financial products, may not concurrently handle services that involve account opening for securities trading, clearing and settlement, receipt, payment, and safekeeping of cash and stocks, margin purchases or short sales, underwriting, serving as in-charge accountant, or agency for shareholder services.In the case of a futures commission merchant that concurrently operates securities business, if any of its associated persons possesses the qualifications for both securities and futures business, then such an associated person, when engaging in the business of account opening, brokerage trading, proprietary trading, clearing and settlement, legal compliance, internal auditing, self-audit, risk management, and in-charge accountant within the scope for which the person is registered, may concurrently handle securities business and futures business of the same nature.In the case of a futures commission merchant that concurrently operates securities business, a managerial officer of the department that handles brokerage trading, proprietary trading, or clearing and settlement business, who furthermore meets the qualifications set out in Articles 8 and 10 herein, may concurrently serve as a managerial officer of the futures department that handles business of the same nature.Except as otherwise provided by law or regulation, the provisions of paragraph 5 and the preceding paragraph shall apply mutatis mutandis to financial institutions other than futures commission merchants that concurrently operate securities business.An agent of a securities firm shall neither execute nor concurrently engage in the business of a senior agent.A securities firm shall establish internal audit and control mechanisms for any concurrent holding of positions and concurrent handling of duties by its associated persons, to ensure the effective execution of the associated person's principal duties and concurrently held positions or concurrently handled duties, and for maintaining the normal business operations of the securities firm. The concurrent holding of positions and concurrent handling of duties may not involve any conflict of interest or any violation of applicable securities regulations or internal control system provisions, and the rights and interests of customers and shareholders shall be protected.
中文原文 證券商負責人與業務人員管理規則第4條
證券商業務人員，不得兼任國內外其他證券商任何職務。
但證券商法令遵循人員、內部稽核人員、風險管理人員及主辦會計人員兼任國外證券關係企業相同性質職務者，不在此限。
前項所稱關係企業，適用公司法關係企業章之規定。
證券商之下列業務人員不得辦理登記範圍以外之業務或由其他業務人員兼辦，但其他法令另有規定者，從其規定：
一、辦理有價證券自行買賣業務之人員。
二、內部稽核人員。
三、風險管理人員。
證券商辦理受託買賣有價證券業務之人員，及負責資產配置或財務規劃等顧問諮詢或金融商品銷售服務之人員，不得兼辦有價證券開戶、結算交割、款券收付、保管、融資融券、承銷、主辦會計、代辦股務等職務。
期貨商兼營證券業務，其業務人員如具有證券及期貨業務人員資格者，於辦理登記範圍之開戶、受託買賣、自行買賣、結算交割、法令遵循、內部稽核、自行查核、風險管理及主辦會計業務時，得同時辦理證券及期貨之相同性質業務。
期貨商兼營證券業務者，其辦理受託買賣、自行買賣及結算交割業務部門之經理人，得由其辦理相同性質業務之期貨部門經理人且符合第八條及第十條規定之資格條件者兼任。
第五項及前項規定，除其他法令另有規定者外，於期貨商以外之金融機構兼營證券業務者準用之。
證券商之業務員不得執行或兼為高級業務員之業務。
證券商業務人員之兼任與兼辦職務行為，證券商應建立內部審核控管機制，以確保業務人員本職及兼任或兼辦職務之有效執行，並維持證券商業務之正常運作，不得涉有利益衝突、違反證券相關規定或內部控制制度情事，且應確保客戶及股東權益。
但證券商法令遵循人員、內部稽核人員、風險管理人員及主辦會計人員兼任國外證券關係企業相同性質職務者，不在此限。
前項所稱關係企業，適用公司法關係企業章之規定。
證券商之下列業務人員不得辦理登記範圍以外之業務或由其他業務人員兼辦，但其他法令另有規定者，從其規定：
一、辦理有價證券自行買賣業務之人員。
二、內部稽核人員。
三、風險管理人員。
證券商辦理受託買賣有價證券業務之人員，及負責資產配置或財務規劃等顧問諮詢或金融商品銷售服務之人員，不得兼辦有價證券開戶、結算交割、款券收付、保管、融資融券、承銷、主辦會計、代辦股務等職務。
期貨商兼營證券業務，其業務人員如具有證券及期貨業務人員資格者，於辦理登記範圍之開戶、受託買賣、自行買賣、結算交割、法令遵循、內部稽核、自行查核、風險管理及主辦會計業務時，得同時辦理證券及期貨之相同性質業務。
期貨商兼營證券業務者，其辦理受託買賣、自行買賣及結算交割業務部門之經理人，得由其辦理相同性質業務之期貨部門經理人且符合第八條及第十條規定之資格條件者兼任。
第五項及前項規定，除其他法令另有規定者外，於期貨商以外之金融機構兼營證券業務者準用之。
證券商之業務員不得執行或兼為高級業務員之業務。
證券商業務人員之兼任與兼辦職務行為，證券商應建立內部審核控管機制，以確保業務人員本職及兼任或兼辦職務之有效執行，並維持證券商業務之正常運作，不得涉有利益衝突、違反證券相關規定或內部控制制度情事，且應確保客戶及股東權益。