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Relevant Laws

Title：Standards Governing the Establishment of Securities Firms (2021.05.06)
Article 6     The business floor and the facilities of a securities firm shall be in accordance with the standards prescribed by a securities dealers' association or the Taipei Exchange (TPEx); for a securities firm which engages in brokerage or proprietary trading business in the stock exchange, they shall also be in accordance with the floor and facilities standards prescribed by the Taiwan Stock Exchange Corporation (TWSE).
Article 8     Prior to filing an application with the FSC for approval to engage in brokerage or proprietary trading business in the stock exchange, the applicant shall receive the consent of computer linkage from the securities central depository enterprise and, according to the type of business which it operates, receive the consent of computer linkage from the stock exchange as required below:
  1. A securities dealer: the linkage of the host computer or the terminal.
  2. A securities broker: the linkage of the host computer or the terminal.
    Prior to filing an application with the FSC for approval to engage in brokerage or proprietary trading business in the over-the-counter market by its head office and newly established branches, the applicant shall receive the consent of the computer linkage for its securities trading information from the TPEx.