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Article NO. Content

Title:

Standards Governing the Establishment of Securities Firms  CH

Amended Date: 2025.07.18 
Article 8 Prior to filing an application with the FSC for permission to engage in brokerage or proprietary trading business on the centralized exchange market, the applicant shall receive consent for computer linkage from the securities central depository enterprise and, according to the type of business which it operates, receive consent for computer linkage from the stock exchange centralized exchange market in advance as specified below:<br/>1. A securities dealer: linkage to the host computer or terminal.<br/>2. A securities broker: linkage to the host computer or terminal.<br/>Prior to filing an application with the FSC for permission for the securities firm and its additionally established branch offices to engage in brokerage or proprietary trading business on the over-the-counter market, the applicant shall receive consent from the TPEx for computer linkage for its securities trading information.