issued an announcement on March 13th, 2015 declaring the intention to draft a partial amendment to “Standards Governing the Establishment of Securities Firms”, Article 9 and 45-1 of the Regulations Governing Securities Firms, and draft of Article 21-1 of the “Regulations Governing Responsible Persons and Associated Persons of Securities Firms”. (FSC issued Order No. Financial-Supervisory-Securities-Firms No. 1040007515)
The Taipei Exchange (TPEx) has also completed its “Draft of Standards Governing Securities Firms Operating Equity-Based Crowd-funding”, in coordination with the FSC’s policy plans.
Overview of Article Amendments to the Regulations Governing Responsible Persons and Associated Persons of Securities Firms (Preview)pdf／81 KBDownload:OverviewofArticleAmendmentstotheRegulationsGoverningResponsiblePersonsandAssociatedPersonsofSecuritiesFirms(Preview).pdf
Overview of Standards Governing the Establishment of Securities Firms and Chart of Proposed Article Amendments (Preview)pdf／103 KBDownload:OverviewofStandardsGoverningtheEstablishmentofSecuritiesFirmsandChartofProposedArticleAmendments(Preview).pdf
Standards Governing Securities Firms Operating Equity-Based Crowdfunding (Draft)pdf／215 KBDownload:StandardsGoverningSecuritiesFirmsOperatingEquity-BasedCrowdfunding(Draft).pdf
Overview of Regulations Governing Securities Firms and Chart of Proposed Article Amendments (Preview)pdf／95 KBDownload:OverviewofRegulationsGoverningSecuritiesFirmsandChartofProposedArticleAmendments(Preview).pdf