金融監督管理委員會民國110年8月16日金管證券字第11003629671號

訂定「證券商負責人與業務人員管理規則」第5條、第9條及第10條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規定，其中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，自即日生效

FINANCIAL SUPERVISORY COMMISSION Order is hereby given, for the stipulation pursuant to Article 5, 9 and 10 of "Regulations Governing Responsible Persons and Associated Persons of Securities Firms", which stipulates rules regarding the qualifications for senior agents, general managers and departmental supervisory personnel of securities firms; the work experience at a securities institution refers to the service experiences at a securities firm, a stock exchange, TPEx, Taiwan Securities Association or other designated securities finance enterprise and competent authority of securities in accordance with Article 18 of "Securities and Exchange Act" (stipulation has become effective since 16th, August 2021)