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Legislative History

Title: Standards Governing the Establishment of Securities Investment Consulting Enterprises CH
Announced Date: 2004-10-30
Amended Date: 2017-10-06
Category: Financial Supervisory Commission(金融監督管理委員會)
1. Full text of 31 articles adopted and issued 30 October 2004 per Order No. Financial-Supervisory-Securities-IV-0930005177 of the Financial Supervisory Commission, Executive Yuan; for implementation from the date of issuance
2. Articles 1, 6, 9, 10, 12, 14, 23, 27, 28 and title of Chapter III amended and issued, and Articles 14-1 to 14-5, Article 22-1, and title of Chapter III, Section 3 added 20 January 2006 per Order No. Financial-Supervisory-Securities-IV-0950000369 of the Financial Supervisory Commission, Executive Yuan
3. Full text of 49 articles amended and issued 2 May 2008 per Order No. Financial-Supervisory-Securities-IV-0970017963 of the Financial Supervisory Commission, Executive Yuan; for implementation from the date of issuance
4. Articles 11, 14 to 21, 24, 31, 33, 37, 41, and 44 amended and issued, and Article10-1 added, per 20 August 2009 Order No. Financial-Supervisory-Securities-SITC-09800420461 of the Financial Supervisory Commission, Executive Yuan
5. Article 3 amended and issued per 4 February 2010 Order No. Financial-Supervisory-Law-09900542800 of the Financial Supervisory Commission, Executive Yuan
6. Articles 16 to 18 and 44 amended and issued per 28 August 2014 Order Financial-Supervisory-Securities-Firms-1030030988 of the Financial Supervisory Commission
7. Articles 2, 10, 19, 32, and 34 amended and issued per 19 May 2016 Order No. Financial-Supervisory-Securities-SITC-1050018091 of the Financial Supervisory Commission
8. Article 7 amended and issued per 6 October 2017 Order No. Financial-Supervisory-Securities-Firms-1060035566 of the Financial Supervisory Commission