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Article NO. Content


Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants  CH

Amended Date: 2014.05.29 
Article 6     In receiving securities trading orders from securities investors and forwarding the orders for execution by the mandating securities firm, the securities introducing broker shall be subject, mutatis mutandis, to Article 35 of the Regulations Governing Securities Firms.
    A securities introducing broker that operates the business of the preceding article and the preceding paragraph shall do so in accordance with the requirements of the TWSE, the GTSM, and the TSA regarding account openings, credit checks, transaction limits, and brokered transactions.