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Laws

Title：

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Announced Date： 1985.09.24
Amended Date： 2024.03.06 (Articles 18 amended,English version coming soon)
Current English version amended on 2022.10.28 
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Content Article In Change26. Articles 5, 6, 9-1, 11, 11-1, 12, 13, 15, and 22 amended and issued, and Article 11-3 added, per 28 October 2022 Order No. Financial-Supervisory-Securities-Firms-1110384597 of the Financial Supervisory Commission; for enforcement from the date of issuance, with the exception of Article 11-3, which shall be enforced from 1 January 2023
Content Article In Change 25.Article 21-1 amended and issued per 6 May 2021 Order No. Financial-Supervisory-Securities-Firms-1100361767 of the Financial Supervisory Commission
Content Article In Change 24.Article 10 amended and issued per 26 October 2020 Order No. Financial-Supervisory-Securities-Firms-1090364936 of the Financial Supervisory Commission
Content Article In Change 23.Article 21-1 amended and issued per 15 January 2020 Order No. Financial-Supervisory-Securities-Firms-1080362060 of the Financial Supervisory Commission
Content Article In Change 22.Articles 4, 11-1, 13, 17, and 18 amended and issued per 28 August 2015 Order No. Financial-Supervisory-Securities-Firms-1040034734 of the Financial Supervisory Commission
Content Article In Change 21.Article 21-1 added per 28 April 2015 Order No. Financial-Supervisory-Securities-Firms-1040014014 of the Financial Supervisory Commission
Content Article In Change 20.Articles 18 and 22 amended and issued per 27 June 2014 Order No. Financial-Supervisory-Securities-Trading-1030024095 of the Financial Supervisory Commission, for enforcement from the date of issuance, with the exception of Article 18, paragraph 2, subparagraph which shall be enforced from 30 June 2014
Content Article In Change 19.Articles 2 to 4, 18, and 22 amended and issued per 30 December 2013 Order No. Financial-Supervisory-Securities-Firms-1020052674 of the Financial Supervisory Commission; for enforcement from the date of issuance, with the exception of Article 18, paragraph ubparagraph 16, which shall enter into force from 6 January 2014
Content Article In Change 18.Articles 4, 9, and 11 amended and issued per 6 October 2011 Order No. Financial-Supervisory-Securities-Firms-1000048545 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 17.Article 9 amended and issued, and Article 9-1 added, per 11 October 2010 Order No. Financial-Supervisory-Securities-Firms-0990051567 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 16.Article 10 amended and issued and Article 18-1 added per 22 December 2008 Order No. Financial-Supervisory-Securities-II-0970067768 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 15.Article 11-1 amended and issued 9 June 2008 per Order No. Financial-Supervisory-Securities-II-0970027055 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 14.Article 4 amended and issued 2 October 2007 per Order No. Financial-Supervisory-Securities-II-0960050708 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 13.Articles 2, 3, 8, 10, and 11 amended and issued, and articles 11-1 and 11-2 added, 26 July 2006 per Order No. Financial-Supervisory-Securities-II-0950003536 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 12.Articles 3, 5, 6, 9, and 10 amended and issued 15 September 2005 per Order No. Financial-Supervisory-Securities-II-0940004080 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 11.Articles 2, 13 amended and promulgated on 31 December 2003 by the Securities and Exchange Commission, Ministry of Finance, per Order No. Taiwan-Finance-Securities-(2)-0920005837
Content Article In Change 10.Twenty-two articles amended and promulgated in full on 21 February 2003 by the Securities and Exchange Commission, Ministry of Finance, per Order Ref. No. Taiwan-Finance-Securities (2) 0920000697
Content Article In Change 9.Article 4 amended and promulgated on 11 March 2002 by the Securities and Exchange Commission, Ministry of Finance, per Order Ref. No. (91) Taiwan-Finance-Securities (2) 001544
8.Articles 2, 10, and 16 were amended by the Securities and Exchange Commission, Ministry of Finance per its order October 5, 2000 Ref. No. (89) Taiwan-Finance-Securities(2) 04367