| Article 1 |
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| Article 2 |
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| Article 3 |
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| Article 4 |
Companies whose shares are listed on the stock exchange or traded on the OTC market and who handle their own stock affairs, and institutions entrusted to handle stock affairs, in addition to appointing sufficient employees with appropriate training and management, must appoint at least one supervisor and deputy thereof with at least 5 years of practical experience in stock affairs; among the rest of the employees handling stock affairs, at least one-third of them, and no less than 5 in all, must meet one of the following criteria. However, this ratio requirement does not apply if there are at least 20 employees handling stock affairs who meet the following criteria:
1. at least 3 years of practical experience in stock affairs.
2. an agent or senior agent of a securities firm.
3. successfully passed the stock affairs examination held by an institution appointed by this Commission.
If only the minimum personnel number requirements of the preceding paragraph are met, those employees must be full-time employees.
A company that handles, for itself or as entrusted by another company, stock affairs of a company whose stock is listed on the stock exchange or traded in the OTC market, shall, before the person in charge and his/her deputies begin working on stock affairs, report to the institution designated by this Commission the said employees' basic information, and in case of any changes, shall report the condition of all the changes within 15 days from the beginning of the month after the month of the change. |
| Article 5 |
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| Article 6 |
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| Article 7 |
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| Article 8 |
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| Article 9 |
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| Article 10 |
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| Article 11 |
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| Article 12 |
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| Article 12-1 |
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