Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 5
A senior agent of a securities firm shall have one of the following qualifications:1. Graduation from a college or university or above, and having been an agent of a securities institution for 3 years or more.2. Qualification as a securities investment analyst as prescribed in the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.3. Having passed the securities firm senior agent exam held by the Securities and Futures Institute (hereinafter "SFI") at the request of the Taiwan Securities Association (hereinafter the "Securities Association").4. Being registered as a securities firm senior agent in accordance with these Regulations, or having obtained a certificate of qualification as a securities firm senior agent issued by the FSC.5. Currently serving as an agent of a securities institution, and having served 1 year or more as an agent before the June 18, 1991 amendment to these Regulations came into force, and further, after that amendment came into force, having served as an agent, cumulatively, for 5 years.
中文原文 證券商負責人與業務人員管理規則第5條
證券商高級業務員應具備下列資格條件之一：
一、大學系所以上畢業，擔任證券機構業務員三年以上者。
二、符合證券投資顧問事業負責人與業務人員管理規則所定證券投資分析人員資格者。
三、經中華民國證券商業同業公會（以下簡稱證券商業同業公會）委託財團法人中華民國證券暨期貨市場發展基金會（以下簡稱證基會）舉辦之證券商高級業務員測驗合格者。
四、曾依本規則登記為證券商高級業務員，或已取得本會核發之證券商高級業務員測驗合格證書者。
五、現任證券機構業務員，於八十年六月十八日本規則修正施行前任職一年以上，且在修正施行後，繼續擔任業務員併計達五年者。
一、大學系所以上畢業，擔任證券機構業務員三年以上者。
二、符合證券投資顧問事業負責人與業務人員管理規則所定證券投資分析人員資格者。
三、經中華民國證券商業同業公會（以下簡稱證券商業同業公會）委託財團法人中華民國證券暨期貨市場發展基金會（以下簡稱證基會）舉辦之證券商高級業務員測驗合格者。
四、曾依本規則登記為證券商高級業務員，或已取得本會核發之證券商高級業務員測驗合格證書者。
五、現任證券機構業務員，於八十年六月十八日本規則修正施行前任職一年以上，且在修正施行後，繼續擔任業務員併計達五年者。