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Legislative History

Title: Regulations Governing Responsible Persons and Associated Persons of Securities Investment Trust Enterprises CH
Announced Date: 2004-10-30
Amended Date: 2021-12-30
Category: Financial Supervisory Commission(金融監督管理委員會)
1. Full text of 22 articles adopted and issued per 30 October 2004 Order No. Financial-Supervisory-Securities-IV-0930005147 of the Financial Supervisory Commission, Executive Yuan; for implementation from the date of issuance
2. Articles 2, 3, 4, 6, 7, and 8 amended and issued, and Articles 2-1, 4-1, 6-1, 21-1 added, per 20 September 2005 Order No. Financial-Supervisory-Securities-IV-0940004155 of the Financial Supervisory Commission, Executive Yuan
3. Articles 2, 3, 4, 4-1, 5, 6, 8, 13, 14, and 21-1 amended and issued, and Articles 6-2 and 6-3 added, per 10 March 2008 Order No. Financial-Supervisory-Securities-IV-0970008420 of the Financial Supervisory Commission, Executive Yuan
4. Articles 2-1, 3, and 17 amended and issued per 11 October 2010 Order No. Financial-Supervisory-Securities-Firms-0990051567 of the Financial Supervisory Commission, Executive Yuan
5. Articles 2-1, 8, and 21-1 amended and issued per 1 August 2012 Order No. Financial-Supervisory-Securities-SITC-1010032368 of the Financial Supervisory Commission
6. Articles 4 and 4-1 amended and issued per 26 October 2020 Order No. Financial-Supervisory-Securities-Firms-1090364936 of the Financial Supervisory Commission
7. Articles 2, 3 to 4-1, 6, 6-1, 7 to 9, and 13 amended, Article 6-4 added, and Article 6-2 deleted per 30 December 2021 Order No. Financial-Supervisory-Securities-SITC-1100365664 of the Financial Supervisory Commission