News
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).pdfOverview of Standards Governing the Establishment of Securities Firms and Chart of Proposed Article Amendments (Preview)
pdf／103 KBDownload:OverviewofStandardsGoverningtheEstablishmentofSecuritiesFirmsandChartofProposedArticleAmendments(Preview).pdfStandards Governing Securities Firms Operating Equity-Based Crowdfunding (Draft)
pdf／215 KBDownload:StandardsGoverningSecuritiesFirmsOperatingEquity-BasedCrowdfunding(Draft).pdfOverview of Regulations Governing Securities Firms and Chart of Proposed Article Amendments (Preview)
pdf／95 KBDownload:OverviewofRegulationsGoverningSecuritiesFirmsandChartofProposedArticleAmendments(Preview).pdf
- Records of Online conferen....Interested in the highlights of World Law Adjustment Online ....
- Draft for the Planning of ....issued an announcement on March 13th, 2015 declaring the int....
- The National Development C....The Executive Yuan is now planning a draft of the “Whi....
- Telework Regulations in Ma....The era of telework has arrived: the world is your office! H....
