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Article NO. Content


Regulations Governing Over-the-Counter Trading Enterprises  CH

Announced Date: 2006.06.27 
Article 6     An OTC trading enterprise shall apply to the Competent Authority by submitting an application and the following documents:
  1. Articles of incorporation.
  2. Business plan.
  3. A register of the promoters, specifying their personal or organizational names, addresses, and capital contributions.
  4. Promoters meeting minutes.
  5. Other documents as required by the Competent Authority.
    The business plan of subparagraph 2 of the preceding paragraph shall include the items listed below:
  1. Matters regarding the regulation of OTC trading of securities and other financial products.
  2. Matters regarding the enterprise's internal organization and internal accounting controls.
  3. Matters regarding the computer planning for OTC trading.
  4. Other matters regarding business operations.