金融監督管理委員會民國109年10月26日金管證券字第1090364936號

修正「證券商負責人與業務人員管理規則」第10條條文、「證券投資信託事業負責人與業務人員管理規則」第4條、第4條之1條文、「證券投資顧問事業負責人與業務人員管理規則」第3條之1、第4條條文、「期貨商負責人及業務員管理規則」第3條條文、「期貨信託事業管理規則」第44條、第45條條文、「期貨經理事業管理規則」第51條條文及「期貨顧問事業管理規則」第21條條文

FINANCIAL SUPERVISORY COMMISSION Order is hereby given, for the amendment on Article 10 of "Regulations Governing Responsible Persons and Associated Persons of Securities Firms", Article 4 and 4-1 of "Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises", Article 3-1 and 4 of "Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises", Article 3 of "Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants", Article 44 and 45 of "Regulations Governing Futures Trust Enterprises", Article 51 of "Regulations Governing Managed Futures Enterprises" and Article 21 of "Regulations Governing Futures Advisory Enterprises"