Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

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

Amended Date: 2014.05.29 
Article 2
    A futures commission merchant that operates securities introducing broker business ("securities introducing broker") is a securities service enterprise, and shall obtain approval from the competent authority.
    The only parties that may apply to become a securities introducing broker are futures commission merchants that operate futures brokerage business.
    A futures commission merchant that concurrently operates securities brokerage business may not apply to operate securities introducing broker business.
    A futures commission merchant that operates securities introducing broker business shall abide by the provisions of these Regulations and the related requirements of the Taiwan Stock Exchange Corporation (TWSE), the GreTai Securities Market (GTSM), and the Taiwan Securities Association (TSA).
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw