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證券商高級業務人員、總經理及部門主管應具備之資格條件規定(Qualifications of senior associated person, general manager, and department head of Securities Firms)
金融監督管理委員會(金管會)於 2021 年 8 月 16 日發布函令(金管證券字第 11003629671 號),整併數則關於「證券商負責人與業務人員管理規則」之函釋。其中有關證券商高級業務人員、總經理及部門主管應具備之資格條件有關「證券機構工作經歷」部分,係指於證券商、證券交易所、證券櫃檯買賣中心、中華民國證券商業同業公會、證券交易法第 18 條所定事業及證券主管機關等服務之經歷。

報告人:劉孟哲律師/王奕雅律師

On 16 August 2021, the FSC issued a ruling (Ref No.: Jin-Guan-Zheng-Quan-Zi-11003629671) to consolidate various rulings in connection with qualifications of senior associated person, general manager, and department head of a securities firm under the Regulations Governing Responsible Persons and Associated Persons of Securities Firms. “working experience in a securities institution” so required refers to those in a securities firm, the stock exchange, the over-the-counter stock exchange, Taiwan Securities Association, enterprises stipulated in Article 18 of Securities and Exchange Act, or the competent authorities of securities.

Reported by: Jeffrey Liu/Lia Wang

惇安法令雙週刊 第 375 期

第一筆上一筆下一筆最末筆筆數:5/57
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