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Regulations Governing Securities Firms  CH

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 

Title: Regulations Governing Securities Firms(2015.04.28)
Article 9     After completion of corporate registration, a securities firm shall lodge an operation bond with a bank designated by the FSC as follows:
  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 operates only equity crowdfunding business, the bond shall be NT$10 million.
  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.
  5. Branch office: additional NT$5 million for each branch.
    The operation bond referred to in the preceding paragraph shall be paid in cash, government bond, or financial bond.
Article 45-1     Securities firms operating equity crowdfunding business shall do so 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 Article 2, Article 5, Article 6, Article 13, Article 14, Article 18, Article 18-1, Article 21, Chapter V, and Chapter VI.