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Article 9
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After completion of corporate registration, a securities firm shall deposit an operation bond with a bank designated by the FSC as follows:<br/>1. A securities underwriter: NT$40 million.<br/>2. A securities dealer: NT$10 million.<br/>3. A securities broker: NT$50 million. However, if the securities broker operates only the following business, the bond shall be NT$10 million:<br/>A. Operates only equity crowdfunding business.<br/>B. Operates only brokerage business for trading and exchanging beneficial certificates of funds.<br/>4. Operators of two or more types of securities business: aggregate of the amounts as referred to in the preceding three subparagraphs according to the types of business being engaged in.<br/>5. Establishment of a branch office: additional NT$5 million for each branch.<br/>6. Establishment of a simple branch office: additional NT$2 million for each simple branch.<br/>7. Conversion of a branch office into a simple branch office: for each branch that is converted, and after the license for the simple branch has been obtained, the originally deposited operation bond will be reduced to NT$2 million.<br/>The operation bond referred to in the preceding paragraph shall be deposited in cash, government bonds, or financial bonds.
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