Regulations Governing Responsible Persons and Associated Persons of Securities Firms Article 9
A securities firm shall have one general manager, who shall be responsible for the overall administration of the business operations of the entire company. The securities firm may not have any other person in a position with equivalent responsibilities.The general managers of securities firms shall be of upstanding character and possess the ability to effectively lead and manage a securities firm. With the exception of general managers of securities firms concurrently operated by financial institutions, to whom the provisions of other laws and regulations may apply, general managers shall possess at least one of the following qualifications:1. Graduation from a local or foreign junior college recognized by the Ministry of Education, or an equivalent or higher degree, with 5 or more years of sales experience in securities, futures, finance, or insurance, and having held the position of assistant general manager or an equivalent position for 1 year or more at a securities or futures institution, or the position of manager or an equivalent position at a securities or futures institution for 3 years or more, with a good performance record.2. Six years or more of work experience at a securities institution, and having served in the position of assistant general manager or an equivalent position at a securities or futures institution for 1 year or more or in the position of manager or an equivalent position at a securities or futures institution for 3 years or more, with a good performance record.3. Other academic or work qualifications demonstrating possession of professional knowledge of securities and operations and management experience that would enable sound and effective management of securities firm business.When hiring a general manager, a securities firm shall first submit documents verifying that its candidate meets the qualifications of the preceding paragraph to the Stock Exchange, the Securities Association, or the Taipei Exchange (TPEx) for their review and approval, after which they shall be forwarded to the FSC for its review and approval, before the candidate may fill that position.The provisions of the preceding two paragraphs apply mutatis mutandis to the responsible persons of a foreign securities firm's branch office within the ROC.The chairman of a securities firm may not concurrently serve as its general manager. This restriction, however, does not apply under any of the following circumstances if approval is obtained from the FSC:1. The securities firm does not concurrently operate any other enterprise, operates only one line of business, and furthermore has only one business location; or, it operates only one line of business, concurrently operates only futures introducing broker business, and furthermore has only one business location.2. The securities firm will cease to exist as a result of dissolution or merger, and its chairman or general manager has resigned or otherwise is unable to continue the performance of duties.3. The securities firm's business permission is voided by the FSC, and its chairman or general manager has resigned or otherwise is unable to continue the performance of duties.4. Any other special cause.
中文原文 證券商負責人與業務人員管理規則第9條
證券商應置總經理一人，負責綜理全公司之業務，且不得有其他職責相當之人。
證券商之總經理應具備良好品德與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，應具備下列資格之一：
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五年以上，並曾擔任證券或期貨機構副總經理或同等職務一年以上，或證券或期貨機構經理或同等職務三年以上，成績優良者。
二、證券機構工作經驗六年以上，並曾擔任證券或期貨機構副總經理或同等職務一年以上，或證券或期貨機構經理或同等職務三年以上，成績優良者。
三、有其他學經歷足資證明其具備證券專業知識及經營管理經驗，可健全有效經營證券商業務者。
證券商聘任總經理，應事先檢具規劃人選符合前項資格之證明文件，報證券交易所、證券商業同業公會或證券櫃檯買賣中心審查並轉報本會審查合格後，始得充任。
前二項之規定，於外國證券商在中華民國境內分支機構負責人準用之。
證券商之董事長不得兼任總經理。
但有下列情形之一，經本會核准者，不在此限：
一、證券商未兼營其他事業並僅經營單一業務種類，且僅有單一營業據點；或僅經營單一業務種類並僅兼營期貨交易輔助業務，且僅有單一營業據點。
二、證券商將因解散、合併而消滅，且其董事長或總經理有辭職或其他無法繼續執行職務之情形。
三、證券商經本會撤銷營業許可，且其董事長或總經理有辭職或其他無法繼續執行職務之情形。
四、其他特殊事由。
證券商之總經理應具備良好品德與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，應具備下列資格之一：
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五年以上，並曾擔任證券或期貨機構副總經理或同等職務一年以上，或證券或期貨機構經理或同等職務三年以上，成績優良者。
二、證券機構工作經驗六年以上，並曾擔任證券或期貨機構副總經理或同等職務一年以上，或證券或期貨機構經理或同等職務三年以上，成績優良者。
三、有其他學經歷足資證明其具備證券專業知識及經營管理經驗，可健全有效經營證券商業務者。
證券商聘任總經理，應事先檢具規劃人選符合前項資格之證明文件，報證券交易所、證券商業同業公會或證券櫃檯買賣中心審查並轉報本會審查合格後，始得充任。
前二項之規定，於外國證券商在中華民國境內分支機構負責人準用之。
證券商之董事長不得兼任總經理。
但有下列情形之一，經本會核准者，不在此限：
一、證券商未兼營其他事業並僅經營單一業務種類，且僅有單一營業據點；或僅經營單一業務種類並僅兼營期貨交易輔助業務，且僅有單一營業據點。
二、證券商將因解散、合併而消滅，且其董事長或總經理有辭職或其他無法繼續執行職務之情形。
三、證券商經本會撤銷營業許可，且其董事長或總經理有辭職或其他無法繼續執行職務之情形。
四、其他特殊事由。