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Article NO. Content

Title:

Regulations Governing Securities Firms  CH

Amended Date: 2021.05.06 
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. However, if the securities broker operates only the following business, the bond shall be NT$10 million:
    1. Operates only equity crowdfunding business.
    2. Operates only brokerage business for trading and exchanging beneficial certificates of funds.
  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.