| Title： |
Regulations Governing Securities Firms(2015.04.28) |
| Date： |
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Article 9
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After completion of corporate registration, a securities firm shall lodge an operation bond with a bank designated by the FSC as follows:
- A securities underwriter: NT$40 million.
- A securities dealer: NT$10 million.
- A securities broker: NT$50 million; if the securities broker operates only equity crowdfunding business, the bond shall be NT$10 million.
- 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.
- 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.
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Article 45-1
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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.
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