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Laws

Title:

Regulations Governing Securities Firms  CH

Announced Date: 1988.11.24
Amended Date: 2020.10.29 (Articles 14-6, 21, 32-1, 35-2, 68-1 amended,English version coming soon)
Current English version amended on 2020.02.03 
Content Article In Change58. Articles 19 and 31-3 amended and issued per 3 February 2020 Order No. Financial-Supervisory-Securities-Firms-1090360209 of the Financial Supervisory Commission
Content Article In Change 57. Article 45-1 amended and issued 15 January 2020 Order No. Financial-Supervisory-Securities-Firms-1080362060 of the Financial Supervisory Commission
Content Article In Change 56. Article 13, 14, 19, 19-3, 19-4, 19-6, 19-7, 38, and 53 amended and Article 52-1 added per 5 December 2017 Order No. Financial-Supervisory-Securities-Firms-1060045983 of the Financial Supervisory Commission
Content Article In Change 55. Article 14 amended and issued per 2 August 2016 Order No. Financial-Supervisory-Securities-Firms-1050027828 of the Financial Supervisory Commission
Content Article In Change 54. Articles 19-7, 24, 31, 33, 36-2, 40 and 41 amended and issued per 12 November 2016 Order No. Financial-Supervisory-Securities-Firms-1040044236 of the Financial Supervisory Commission
Content Article In Change 53. Articles 5, 53, and 54 amended and issued per 3 July 2015 Order No. Financial-Supervisory-Securities-Firms-1040024927 of the Financial Supervisory Commission
Content Article In Change 52. Article 9 amended and issued and Article 45-1 added per 28 April 2015 Order No. Financial-Supervisory-Securities-Firms-1040014014 of the Financial Supervisory Commission
Content Article In Change 51. Articles 5, 9, 13, 18, 19, 19-2 to 19-4, 26, 38, 50, and 64 amended and issued per 4 February 2015 Order No. Financial-Supervisory-Securities-Firms-1040001299 of the Financial Supervisory Commission
Content Article In Change 50. Articles 37-1 and 69 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 37-1, which shall be enforced from 30 June 2014
Content Article In Change 49. Articles 2, 7, 14-1, 14-3, 16, 19-1 to 19-3, 19-6, 19-7, 23, 26, 31 to 31-4, 32-1, 37, 50, and 69 amended, Article 37-1 added, and Article 14-2 deleted per 30 December 2013 Order No. Financial-Supervisory-Securities-Firms-1020052856 of the Financial Supervisory Commission, for enforcement from the date of issuance, with the exception of Articles 37 and 37-1, which shall be enforced from 6 January 2014
Content Article In Change 48. Articles 16, 19, 19-1, 19-4, 19-6, 26, 31-1, 47, 49-1, 55, and 69 amended and Articles 60 to 62-7 and the headings of sections 1 to 4 of Chapter 6 deleted per 11 October 2012 Order No. Financial-Supervisory-Securities-Firms-1010037166 of the Financial Supervisory Commission, for enforcement from the date of issuance, with the exception of Articles 16 and 47, which shall be enforced from the fiscal year of 2013.
Content Article In Change 47. Articles 10, 13, 18, 19, 19-6, 21, 26, 28, 37, 46, 47, 49-1, 50, 59, 63, and 64 amended and Article 18-1 added per 10 January 2012 Order No. Financial-Supervisory-Securities-Firms-1000064258 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 46. Articles 13, 40, 60, and 62-3 amended and Articles 11 and 12 deleted per 11 January 2011 Order No. Financial-Supervisory-Securities-Firms-0990073857 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 45. Articles 4, 18, 19, 26, 31, 49-1, and 53 amended and Article 53-1 added per 9 September 2010 Order No. Financial-Supervisory-Securities-Firms-0990045590 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 44. Article 50 amended and issued per 16 March 2010 Order No. Financial-Supervisory-Securities-Firms-0990011992 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 43. Article 16 amended and issued per 16 June 2009 Order No. Financial-Supervisory-Securities-Firms-0980029344 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 42. Articles 2, 19-6, 40, and 59 to 63 amended, Articles 59-1, and 62-1 to 62-7 and the titles of Chapter VI, Sections 1 to 4 newly added per 23 December 2008 Order No. Financial-Supervisory-Securities-II-0970067670 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 41. Articles 49-1, 50, 58-3 amended and issued 4 August 2008 per Order No. Financial-Supervisory-Securities-II-0970039639 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 40. Articles 19, 19-1, 19-2, and 25 amended and issued 12 May 2008 per Order No. Financial-Supervisory-Securities-II-0970018981 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 39. Articles 19-1, 19-3 to 19-5, 31-4, and 32-1 amended and issued and Articles 19-6, 19-7, and 35-1 added 17 December 2007 per Order No. Financial-Supervisory-Securities-II-0960067547 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 38. Article 26 amended and issued 28 May 2007 per Order No. Financial-Supervisory-Securities-II-0960025314 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 37. Article 19-3 amended and issued 3 January 2007 per Order No. Financial-Supervisory-Securities-II-0950005951 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 36. Articles 13 to 16, 18, 19, 19-3, and 59 amended, Articles 19-5 and 30-1 added, and Article 57 deleted 25 August 2006 per Order No. Financial-Supervisory-Securities-II-0950004038 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 35. Article 29-1 added 14 April 2006 per Order No. Financial-Supervisory-Securities-II-0950001862 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 34. Articles 3, 14-2, 36-1, 36-2, 46, and 48 amended 20 January 2006 per Order No. Financial-Supervisory-Securities-II-0950000377 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 33. Article 60 amended 28 December 2005 per Order No. Financial-Supervisory-Securities-II-0940006049 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 32. Articles 18, 19-3, and 19-4 amended and promulgated 6 May 2005 per Order No. Financial-Supervisory-Securities-II-0940001928 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 31. Name of Chapter 5 amended and promulgated and Article 49-1 added 14 February 2005 per Order No. Financial-Supervisory-Securities-II-0940103536 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 30. Article 31 amended and promulgated and articles 36-1 and 36-2 added 20 October 2004 per Order No. Financial-Supervisory-Securities-II-0930004935 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 29. Articles 2 and 19-3 amended and promulgated 2 August 2004 per Order No. Financial-Supervisory-Securities-II-0930003706 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 28. Articles 10, 14-5, 20, 22, 24, and 50 amended and promulgated and Articles 19-1 to 19-4, 31-1 to 31-4, and 58-1 to 58-3 and Chapter V-1 added by the Securities & Futures Commission, Ministry of Finance on 31 December 2003 per Order Ref. No. Taiwan-Finance-Securities-(2)-0920005386
Content Article In Change 27. Articles 2 and 32 amended and promulgated by the Securities & Futures Commission, Ministry of Finance on 30 April 2003 per Order Ref. No. Taiwan-Finance-Securities-(2)- 0920001862
Content Article In Change 26. Article 26 amended by the Securities & Futures Commission, Ministry of Finance on 28 November 2002 per Order Ref. No. Taiwan-Finance-Securities-(2)-0910005953
25. Article 32 amended and promulgated and Article 32-1 added by the Securities & Futures Commission, Ministry of Finance on 22 November 2002 per Order Ref. No. Taiwan-Finance-Securities-(2)-0910005883
24. Articles 14-3, 16, 18, 42, 49 to 52, 55 to 58, 60, 62, and 63 amended and promulgated and Article 14-4 deleted by the Securities & Futures Commission, Ministry of Finance on 6 August 2002 per Order Ref. No. (91) Taiwan-Finance-Securities-(2)-0910004183
23. Article 37 amended by the Securities & Futures Commission, Ministry of Finance on 11 March 2002 per Order Ref. No. (91) Taiwan-Finance-Securities-(2)-001540
22. Articles 18, 47, and 60 amended and promulgated and Articles 14-1 to 14-5 added by the Securities & Futures Commission, Ministry of Finance on 19 December 2001 per Order Ref. No. (90) Taiwan-Finance-Securities-(2)-006576
21. Articles 2, 3, 4, 6, 17, 18, 20 to 31, 34, and 36 to 69 were amended by Securities & Futures Commission, Ministry of Finance on 5 October 2000 per Order Ref. No. (89) Taiwan-Finance-Securities-(2)-04351