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Amendments

Title：

Standards Governing the Establishment of Securities Firms  CH

Amended Date： 2021.05.06 
Article Content Chapter Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese

Title： Standards Governing the Establishment of Securities Firms(2015.04.28)
Date：
Article 3     A securities firm shall be established as a company limited by shares. The minimum paid-in capital for a securities firm, according to the type of business which it operates, shall be as follows:
  1. A securities underwriter: NT$400 million.
  2. A securities dealer: NT$400 million.
  3. A securities broker: NT$200 million; if the securities broker operates only equity crowdfunding business, the minimum paid-in capital shall be NT$50 million.
    The minimum paid-in capital required in the preceding paragraph shall be fully collected by the promoters at the time of incorporation.
Article 7     In filing an application with the FSC for approval, the promoters of a securities firm shall according to the type of business which it operates, deposit the amount prescribed below with the bank designated by the FSC:
  1. A securities underwriter: NT$40 million.
  2. A securities dealer: NT$10 million.
  3. A securities broker: NT$50 million; if the securities broker will operate only equity crowdfunding business, the amount shall be NT$10 million.
    The deposit prescribed in the preceding paragraph may be substituted by government bonds or financial bonds.
    The fund deposited in compliance with paragraph 1 shall not be removed before the company deposits the operation bond and obtains the incorporation registration; for a company whose application for the permit is rejected or whose permit is revoked, the fund may be removed after the FSC informs the company.
Article 11     Securities firms shall establish a system of internal control referred to in Article 10, paragraph 1, subparagraph 4 in accordance with the Regulations Governing Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets and the regulations for establishing internal control systems by securities firms jointly prescribed by the TWSE and other related institutions.
    Securities firms operating equity crowdfunding business shall handle their internal control system in accordance with applicable rules adopted by the TPEx; a securities firm that operates only equity crowdfunding business is not subject to the provisions of the preceding paragraph.
Article 21     For each branch unit that a securities firm establishes, the paid-in capital of the firm shall increase by NT$30 million.