Regulations Governing the Implementation of Internal Control and Audit System and Business Solicitation System of Insurance Agent Companies and Insurance Broker Companies Article 22
Insurance agent companies, insurance broker companies or banks shall establish a self-evaluation system, and shall conduct self-evaluation at least annually and a special self-evaluation as deemed necessary.When a unit of the company conducts self-evaluation mentioned in the preceding paragraph, the unit chief shall assign personnel other than the original handling staff to carry out the evaluation and keep the evaluation activity confidential beforehand.The self-evaluation report and its working papers shall be preserved for at least five (5) years.Insurance agent companies, insurance broker companies or banks shall establish a self-evaluation training program to provide self-evaluation personnel with proper training on a continual basis.
中文原文 保險代理人公司保險經紀人公司內部控制稽核制度及招攬處理制度實施辦法第22條
保險代理人公司、保險經紀人公司、銀行應建立自行評估制度，每年至少應辦理一次定期自行評估，並依實際需要辦理專案自行評估。
各單位辦理前項之自行評估時，應由該單位主管指派非原經辦人員辦理，並事先保密。
自行評估報告及工作底稿應至少留存五年備查。
保險代理人公司、保險經紀人公司、銀行應訂定自行評估訓練計畫，對於自行評估人員應持續施以適當查核訓練。
各單位辦理前項之自行評估時，應由該單位主管指派非原經辦人員辦理，並事先保密。
自行評估報告及工作底稿應至少留存五年備查。
保險代理人公司、保險經紀人公司、銀行應訂定自行評估訓練計畫，對於自行評估人員應持續施以適當查核訓練。