Regulations Governing Internal Operating Systems and Procedures for Banks Conducting Financial Derivatives Business Article 19
Bank personnel engaging in financial derivatives business shall have professional ability, and the bank shall set professional qualification requirements and establish training system and performance evaluation systemBank's operations and relevant managing personnel handling financial derivatives business must meet one of the qualification requirements below1. Having attended at least 60 hours of courses offered by domestic financial training institutes on financial derivatives or risk management and obtain certificates of completion therefor; the courses must cover theories and practices, relevant regulations, accounting treatment and risk management of financial derivatives.2. Having had at least one year of practical training relating to financial derivatives at a domestic or foreign financial institution.3. Having at least six months of practical experience in financial derivatives business at a domestic or foreign financial institution.Operations and relevant managingpersonnelhandling the works of recommending financial derivatives must possess one of the qualification requirements set out below:1. Meeting one of the qualification requirementsset outin the preceding paragraph.2. Having passed the qualification test for structured product sales personnel offered by a domestic financial training institute and obtained a certificate therefor.3. Having passed the qualification test for financial derivative sales personnel offered by a domestic financial training institute and obtained a certificate therefor.Operations and relevant managingpersonnel handling the works of the trading, settlement, recommendation, andrisk management shall attend at least 12 hours of training courses on financial derivatives every year offered by domestic financial training institutions or by the bank itself, where the training courses on financial derivatives offered by domestic financial training institutions shall comprise not less than one half of the total hours of training received.The term "relevant managing personnel" referred to in the preceding three paragraphs shall mean the direct head and deputy head of the financial derivatives businessat the head office or the divisionof the branchthat recommending personnel belong to.The recommending personnel mentioned in Paragraph 3 hereof shall register with the Bankers Association and may not engage in the recommendation business without registration. The rules regarding registration of job assignment, registrationof data change, registration of cancellation and other compliance matters shall be draftedby the Bankers Association and submitted to the Commission for reference.
中文原文 銀行辦理衍生性金融商品業務內部作業制度及程序管理辦法第19條
銀行辦理衍生性金融商品業務之人員應具備專業能力，並應訂定專業資格條件、訓練及考評制度。
銀行辦理衍生性金融商品業務之經辦及相關管理人員，應具備下列資格條件之一：
一、參加國內金融訓練機構舉辦之衍生性金融商品及風險管理課程時數達六十小時以上且取得合格證書，課程內容須包括衍生性金融商品交易理論與實務、相關法規、會計處理及風險管理。
二、在國內外金融機構相關衍生性金融商品業務實習一年。
三、曾在國內外金融機構有半年以上衍生性金融商品業務之實際經驗。
辦理衍生性金融商品推介工作之經辦及相關管理人員，應具備下列資格條件之一：
一、具備前項資格條件之一。
二、通過國內金融訓練機構舉辦之結構型商品銷售人員資格測驗並取得合格證書。
三、通過國內金融訓練機構舉辦之衍生性金融商品銷售人員資格測驗並取得合格證書。
銀行辦理衍生性金融商品業務之交易、交割、推介、風險管理之經辦及相關管理人員，每年應參加國內金融訓練機構所舉辦或銀行自行舉辦之衍生性金融商品教育訓練課程時數達十二小時以上；其中參加國內金融訓練機構所舉辦之衍生性金融商品教育訓練課程，不得低於應達訓練時數之二分之一。
前三項所稱相關管理人員，係指總行辦理衍生性金融商品業務或分行推介工作人員之所屬單位之直屬主管及副主管。
第三項推介人員應向銀行公會辦理登錄，非經登錄，不得執行推介業務。
推介人員之任職登錄、資料變更登錄、註銷登錄及其他應遵循事項，由銀行公會訂定，並報本會備查。
銀行辦理衍生性金融商品業務之經辦及相關管理人員，應具備下列資格條件之一：
一、參加國內金融訓練機構舉辦之衍生性金融商品及風險管理課程時數達六十小時以上且取得合格證書，課程內容須包括衍生性金融商品交易理論與實務、相關法規、會計處理及風險管理。
二、在國內外金融機構相關衍生性金融商品業務實習一年。
三、曾在國內外金融機構有半年以上衍生性金融商品業務之實際經驗。
辦理衍生性金融商品推介工作之經辦及相關管理人員，應具備下列資格條件之一：
一、具備前項資格條件之一。
二、通過國內金融訓練機構舉辦之結構型商品銷售人員資格測驗並取得合格證書。
三、通過國內金融訓練機構舉辦之衍生性金融商品銷售人員資格測驗並取得合格證書。
銀行辦理衍生性金融商品業務之交易、交割、推介、風險管理之經辦及相關管理人員，每年應參加國內金融訓練機構所舉辦或銀行自行舉辦之衍生性金融商品教育訓練課程時數達十二小時以上；其中參加國內金融訓練機構所舉辦之衍生性金融商品教育訓練課程，不得低於應達訓練時數之二分之一。
前三項所稱相關管理人員，係指總行辦理衍生性金融商品業務或分行推介工作人員之所屬單位之直屬主管及副主管。
第三項推介人員應向銀行公會辦理登錄，非經登錄，不得執行推介業務。
推介人員之任職登錄、資料變更登錄、註銷登錄及其他應遵循事項，由銀行公會訂定，並報本會備查。