Regulations Governing Insurance Brokers Article 50
This English translation was last updated on 2024-07-22, but the Chinese text was amended on 2026-09-30. Later amendments may not be reflected in the translation — please refer to the Chinese text.
A broker company and a bank shall produce a compliance manual and appoint a compliance officer to take charge of the planning, management and implementation of its compliance system. The compliance officer shall also report periodically to the board of directors and supervisors or audit committee. In case the broker company is a limited company, the compliance officer shall report periodically to all shareholders.The compliance manual mentioned in the preceding paragraph shall contain at least the following particulars:1. Compliance procedures to be adopted by each business.2. Rules and regulations to be complied with by each business.3. Procedures for handling violation of rules and regulations.4.Self-assessment procedure for compliance operation.The compliance officer may not serve concurrently as an internal auditor.The appointment, dismissal or transfer of compliance officer shall be reported in a manner designated by the competent authority with confirmation document and record filed and stored.The planning, management and implementation of compliance system shall include the following:1.Establish clear and adequate transmission, consultation, coordination, and communication systems with respect to laws and regulations.2.Ascertain that all operations and management rules are updated in a timely manner in coordination with applicable laws and regulations so that all business activities comply with laws and regulations.3.Draw up the content of and procedures for compliance-related assessment, conduct self-assessment at least once a year, audit the compliance self-check procedure, and report the audit result to the general manager.4.Provide employees with adequate and proper training on laws and regulations.
中文原文 保險經紀人管理規則第50條
經紀人公司及銀行應擬具法令遵循手冊，並置法令遵循人員，負責法令遵循制度之規劃、管理及執行，並定期向董事會與監察人或審計委員會報告。
有限公司制者，應定期向全體股東報告。
前項法令遵循手冊，其內容至少應包括：
一、各項業務應採行之法令遵循程序。
二、各項業務應遵循之法令規章。
三、違反法令規章之處理程序。
四、法令遵循業務自行評估程序。
法令遵循人員不得兼任內部稽核人員。
法令遵循人員之委任、解任或調職，應以主管機關指定之方式申報，且建檔留存確認文件及紀錄。
法令遵循制度之規劃、管理及執行應包括下列事項：
一、建立清楚適當之法令規章傳達、諮詢、協調與溝通系統。
二、確認各項作業及管理規章均配合相關法規適時更新，使各項營運活動符合法令規章規定。
三、訂定法令遵循之評估內容與程序，及每年辦理至少一次自行評估，並對法令遵循自行檢核作業程序辦理查核，將查核結果簽報總經理。
四、對公司人員施以適當合宜之法規訓練。
有限公司制者，應定期向全體股東報告。
前項法令遵循手冊，其內容至少應包括：
一、各項業務應採行之法令遵循程序。
二、各項業務應遵循之法令規章。
三、違反法令規章之處理程序。
四、法令遵循業務自行評估程序。
法令遵循人員不得兼任內部稽核人員。
法令遵循人員之委任、解任或調職，應以主管機關指定之方式申報，且建檔留存確認文件及紀錄。
法令遵循制度之規劃、管理及執行應包括下列事項：
一、建立清楚適當之法令規章傳達、諮詢、協調與溝通系統。
二、確認各項作業及管理規章均配合相關法規適時更新，使各項營運活動符合法令規章規定。
三、訂定法令遵循之評估內容與程序，及每年辦理至少一次自行評估，並對法令遵循自行檢核作業程序辦理查核，將查核結果簽報總經理。
四、對公司人員施以適當合宜之法規訓練。