Pursuant to Article 10 of the Act, the protection institution shall adopt operating rules in regard to its scope of business under the Act and submit them, and any subsequent amendments thereto, to the FSC for approval.

The protection institution shall adopt procedural rules for group arbitration and class actions involving securities investors and futures traders undertaken pursuant to Article 28 of the Act, setting out the types of cases, their scope, operational procedures, methods of execution, and other matters to be observed. The procedural rules, and any amendments thereto, shall be submitted to the FSC for approval.

The protection institution shall adopt procedural rules for the taking of legal actions pursuant to Articles 10-1 and 10-2 of the Act, setting out the requisites, procedures, and scope for execution, operational procedures, and other matters to be observed. The procedural rules, and any amendments thereto, shall be submitted to the FSC for approval.

For the purpose of investor protection, the protection institution shall hold stock in listed, OTC-listed, or emerging stock companies in accordance with Article 19 of the Act, in order to exercise shareholder rights.

The protection institution shall retain all documents relating to finances and operations at its offices for audit by the FSC.

The protection institution shall send a letter of report to the FSC by the 20th of each month, including a statement of changes in the protection fund for the previous month, a monthly accounting summary, and the funds contributed by the various entities as well as the status of any contribution payments in arrears.

When the net worth of the protection fund reaches NT$5 billion, the protection institution shall immediately report to the FSC by letter, including a list of the securities firms and futures commission merchants who have allocated funds for a period of more than ten years and a statement of the amounts allocated yearly by each.
After making a report as referred to in the preceding paragraph, if the net worth of the protection fund falls below NT$5 billion due to any circumstance under Article 21 of the Act or other circumstance having a material impact, the protection institution shall immediately notify the FSC by letter.

The protection institution may not provide guarantees, endorse negotiable instruments, or provide assets for use as collateral by others except with the permission of the FSC.

Two months prior to the beginning of a new fiscal year, the protection institution shall draft a yearly budget and operations plan for ratification by the FSC; any amendments thereto shall also require ratification. Within 15 days of the conclusion of each quarter, it shall produce a report on the execution of the plan and the budget, up to and including that quarter, for submission to and recordation by the FSC.
The protection institution shall execute the yearly budget and operations plan as they are ratified by the FSC.

Within three months from the end of any fiscal year, the protection institution shall submit to the FSC an operations report and a financial report audited and attested by a certified public accountant, passed by the board of directors, and recognized by the supervisors.