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Advance Notice on Amendments to 7 regulations related to rules governing responsible Persons of securities and futures industry services providers firms.

2020-08-20
In response to the diversified development of the financial market and international trend of digital finance, the securities and futures industry needs to recruit cross-disciplinary talents to help its business transformation or enhance its competitiveness. In order to assist the industry recruit diversified financial talents, the aforementioned management rules are to be amended to include those who are engaged in information, technology, law, e-commerce, digital economy and other professional fields on the premise of possessing the salesperson or analyst qualification as required by the industry; those with certain working experience and good performance may serve as department heads, deputy general managers, senior managers, managers or branch heads of the securities and futures industry.
The FSC said that, in addition to being published in the official gazette of the Executive Yuan, a general description of the draft and a comparison table of the amended articles will be published on the FSC website. If you have any comments, please visit the webpage “Notice of Draft Regulations” on the website of the “FSC Regulatory Inquiry System” (URL: https://law.fsc.gov.tw/) and state your view, or consult the Securities and Futures Bureau of the FSC within 30 days after the announcement is made.
 
Visitor: 1183   Update: 2020-09-02
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