金融監督管理委員會民國99年8月5日金管證券字第0990036770號

預告「證券商負責人與業務人員管理規則」第9條、第9條之1、「證券投資信託事業負責人與業務人員管理規則」第2條之1、第3條、第17條、「證券投資顧問事業負責人與業務人員管理規則」第3條、「證券金融事業管理規則」第65條、第65條之1、「期貨商負責人及業務員管理規則」第3條之1、第7條、第20條之2及「期貨經理事業管理規則」部分條文、「期貨信託事業管理規則」部分條文修正草案

FINANCIAL SUPERVISORY COMMISSION, EXECUTIVE YUAN Notice is hereby given, to commence a period of public comments for the draft amendment on Article 9 and 9-1 of "Regulations Governing Responsible Persons and Associated Persons of Securities Firms", Article 2-1, 3 and 17 of "Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises", Article 3 of "Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises", Article 65 and 65-1 of "Regulations Governing Securities Finance Enterprises", Article 3-1, 7 and 20-2 of "Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants", partial articles of "Regulations Governing Managed Futures Enterprises", and "Regulations Governing Futures Trust Enterprises"