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Legislative History

Title: Regulations Governing Responsible Persons and Associated Persons of Futures Commission Merchants CH
Announced Date: 1997-05-30
Amended Date: 2022-10-28
Category: Financial Supervisory Commission(金融監督管理委員會)
1. Twenty-one articles adopted in full and promulgated on May 30, 1997 per Ruling Ref. No. (86)-Taiwan-Finance-Securities-(5)-03216 of the Securities and Futures Commission; Rules in effect from June 1, 1997
2. Articles 5, 7, 16 amended on January 21 1999 per Ruling Ref. No. (88)-Taiwan-Finance-Securities-(7)-00267
3. Articles 7, 8, 11, 13, 16, and 21 amended on September 26, 2000 per Ruling Ref. No. (89)-Taiwan-Finance-Securities-(7)-04192; amendments in effect from date of promulgation
4. Articles 2, 4, 5, 16 amended and Article 19 deleted on December 24, 2002 per Ruling Ref. No. (91)-Taiwan-Finance-Securities-(7)-0910006323
5. Article 3 amended and new Articles 3-1, 3-2, and 20-1 added on 31 July 2003 per Order No. Taiwan-Finance-Securities-VII-0920003122 of the Securities and Futures Commission, Ministry of Finance
6. Articles 5 and 7 amended and issued 2 October 2007 per Order No. Financial-Supervisory-Securities-VII-0960052678 of the Financial Supervisory Commission, Executive Yuan
7. Article 16 amended and issued per 23 October 2007 Order No. Financial-Supervisory-Securities-VII-0960056276 of the Financial Supervisory Commission, Executive Yuan
8. Articles 2, 3-2, 6, 7, 8, and 11 amended and issued, and Article 5-1 added, 7 July 2008 per Order No. Financial-Supervisory-Securities-VII-0970033572 of the Financial Supervisory Commission, Executive Yuan; for implementation from the date of issuance
9. Articles 2, 3, 3-1, 5, 7, 20-1 amended and issued, and Articles7-1 and 18-1added, per 11 November 2009 Order No. Financial-Supervisory-Securities-Futures-0980060589 of the Financial Supervisory Commission, Executive Yuan
10. Articles 3-1, 7, and 20-1 amended and issued per 11 October 2010 Order No. Financial-Supervisory-Securities-Firms-0990051567 of the Financial Supervisory Commission, Executive Yuan
11. Articles 3-1 and 7 amended and issued per 30 December 2013 Order No. Financial-Supervisory-Securities-Firms-1020052674 of the Financial Supervisory Commission
12. Articles 7 and 7-1 amended and issued per 31 August 2015 Order No. Financial-Supervisory-Securities-Futures-1040034832 of the Financial Supervisory Commission
13. Articles 5, 5-1, 8, and 13 amended and issued per 15 May 2019 Order No. Financial-Supervisory-Securities-Futures-1080314358 of the Financial Supervisory Commission
14. Article 3 amended and issued per 26 October 2020 Order No. Financial-Supervisory-Securities-Firms-1090364936 of the Financial Supervisory Commission
15. Articles 7-1, 11, 20-1, and 21 amended and issued, and Articles 7-2 and 7-3 added, per 28 October 2022 Order No. Financial-Supervisory-Securities-Firms-1110384597 of the Financial Supervisory Commission; for enforcement from the date of issuance, with the exception of Article 7-3, which shall be enforced from 1 January 2023