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Relevant Laws

Title：Securities and Exchange Act (2023.06.28)
Article 15 (Types of Securities Business)
    The securities businesses that may be operated in accordance with this Act are:
  1. securities underwriting and other relevant businesses approved by the Competent Authority.
  2. Securities dealing and other relevant businesses approved by the Competent Authority.
  3. Securities commission agency, brokerage, agency, and other relevant businesses approved by the Competent Authority.
Article 45 (Restrictions on Concurrent Operations and Investment)
    A securities firm shall operate within the business categories as authorized under Article 16, and may not operate securities business beyond the authorized scope, provided that with the approval of the Competent Authority, this restriction shall not apply.
    A securities firm shall not be operated concurrently by other businesses; however, a financial institution with approval from the Competent Authority shall be allowed to concurrently operate securities business.
    A securities firm shall not invest in another securities firm except with the approval of the Competent Authority.