金融監督管理委員會民國111年10月28日金管證券字第1110384597號

修正「證券商負責人與業務人員管理規則」部分條文、「期貨商負責人及業務員管理規則」部分條文

FINANCIAL SUPERVISORY COMMISSION Order is hereby given, for the amendment on partial articles of "Regulations Governing Responsible Persons and Associated Persons of Securities Firms" (amended regulations take into force from 28th, October 2022 except Article 11-3, which shall be taking into force from 1st, January 2023) and partial articles of "Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants" (amended regulations take into force from 28th, October 2022 except Article 7-3, which shall become effective from 1st, January 2023)