Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 9-1
The chairman of a securities firm shall have good moral character, the ability to effectively lead and manage a securities firm and Xwith the exception of a chairman of a securities firm concurrently operated by a financial institution, who may instead be subject to the provisions of other laws and regulations Xshall also meet one of the following qualifications:1. Has graduated from a domestic or foreign school at the level of junior college or higher recognized by the Ministry of Education or possesses equivalent academic qualifications, and has no less than 3 years of work experience engaging in business at a securities, futures, financial, or insurance institution(s), and has served for no less than 1 year in the position of manager or higher or an equivalent position at a securities or futures institution(s), with a good performance record.2. Has graduated from a domestic or foreign school at the level of junior college or higher recognized by the Ministry of Education or possesses equivalent academic qualifications, has no less than 5 years of work experience in securities administration or supervision, and has served for no less than 1 year in the position of intermediate civil service employee at grade 9 or higher or in an equivalent position, with a good performance record.3. Has no less than 5 years of work experience at securities, futures, financial, or insurance institution(s), and has served for no less than 3 years in the position of assistant manager or higher or in an equivalent position at a securities or futures institution(s), with a good performance record.4. Has other academic or work qualifications sufficient to demonstrate possession of professional knowledge and operational and management experience in securities, futures, or finance that would enable sound and effective operation of securities firm business.A securities firm shall, within 10 days after its chairman has been elected, submit relevant qualification documents to the Stock Exchange, the Taipei Exchange, or the Securities Association for their review, after which they shall be forwarded to the FSC for approval. If any qualification of the chairman is not approved by the FSC, the FSC may order the securities firm to make changes within a prescribed period of time. The same shall apply if factual evidence shows that the person does not possess the required good moral character, abilities, and qualifications specified in the preceding paragraph after taking office.If a securities firm has any question regarding the application of subparagraph 4 of paragraph 1 to its candidate for chairman, the securities firm may, before electing the chairman, submit the candidate's qualifications to the Stock Exchange, the Taipei Exchange, or the Securities Association for their review and forwarding to the FSC for approval.A person who was already serving as chairman of a securities firm prior to the enforcement of the 28 October 2022 amendment to this article may continue to serve as chairman for the duration of their original term, without being subject to the restrictions in paragraph 1 and paragraph 2. A chairman of a securities firm elected after the amendment to these Regulations shall be required to meet the good moral character, abilities, and qualifications required under these Regulations; one who fails to meet them shall be dismissed.
中文原文 證券商負責人與業務人員管理規則第9-1條
證券商之董事長應具備良好品德、有效領導及經營證券商之能力，除由金融機構兼營者得另依其他法令之規定外，並具備下列資格之一：
一、經教育部承認之國內外專科以上學校畢業或具同等學歷，具證券、期貨、金融或保險機構從事業務工作經驗三年以上，並曾擔任證券或期貨機構經理以上或同等職務一年以上，成績優良者。
二、經教育部承認之國內外專科以上學校畢業或具同等學歷，擔任證券行政或監理工作經驗五年以上，並曾任薦任九職等以上或同等職務一年以上，成績優良者。
三、證券、期貨、金融或保險機構工作經驗五年以上，並曾擔任證券或期貨機構副經理以上或同等職務三年以上，成績優良者。
四、有其他學經歷足資證明其具備證券、期貨或金融專業知識及經營管理經驗，可健全有效經營證券商業務者。
證券商之董事長應於選任後十日內，檢具相關資格證明文件，報經證券交易所、證券櫃檯買賣中心或證券商業同業公會審查並轉報本會認可；其資格條件有未經本會認可者，本會得命證券商限期調整；於充任後有事實證明其未符合前項所定應具備之良好品德、能力及資格條件者，亦同。
證券商對擬選任之董事長認有適用第一項第四款之疑義者，得於選任前，先報經證券交易所、證券櫃檯買賣中心或證券商業同業公會審查並轉報本會認可。
本條中華民國一百十一年十月二十八日修正施行前，已擔任證券商董事長者，得於原任期內續任之，不受第一項及第二項規定之限制。
證券商董事長於本規則修正後選任者，應符合本規則所定應具備之品德、能力及資格條件；不符者，應予解任。
一、經教育部承認之國內外專科以上學校畢業或具同等學歷，具證券、期貨、金融或保險機構從事業務工作經驗三年以上，並曾擔任證券或期貨機構經理以上或同等職務一年以上，成績優良者。
二、經教育部承認之國內外專科以上學校畢業或具同等學歷，擔任證券行政或監理工作經驗五年以上，並曾任薦任九職等以上或同等職務一年以上，成績優良者。
三、證券、期貨、金融或保險機構工作經驗五年以上，並曾擔任證券或期貨機構副經理以上或同等職務三年以上，成績優良者。
四、有其他學經歷足資證明其具備證券、期貨或金融專業知識及經營管理經驗，可健全有效經營證券商業務者。
證券商之董事長應於選任後十日內，檢具相關資格證明文件，報經證券交易所、證券櫃檯買賣中心或證券商業同業公會審查並轉報本會認可；其資格條件有未經本會認可者，本會得命證券商限期調整；於充任後有事實證明其未符合前項所定應具備之良好品德、能力及資格條件者，亦同。
證券商對擬選任之董事長認有適用第一項第四款之疑義者，得於選任前，先報經證券交易所、證券櫃檯買賣中心或證券商業同業公會審查並轉報本會認可。
本條中華民國一百十一年十月二十八日修正施行前，已擔任證券商董事長者，得於原任期內續任之，不受第一項及第二項規定之限制。
證券商董事長於本規則修正後選任者，應符合本規則所定應具備之品德、能力及資格條件；不符者，應予解任。