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Legislative History

Title: Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms CH
Announced Date: 1997-10-28
Amended Date: 2015-01-06
Category: Financial Supervisory Commission(金融監督管理委員會)
1. Full text of 33 articles adopted and issued per 28 October 1997 Order No. (86)-Taiwan-Finance-Securities-(V)-04846 of the Securities and Futures Commission, Ministry of Finance
2. Articles 17, 28, 29, and 30 amended and issued per 16 October 2000 Order No. (89)-Taiwan-Finance-Securities-(VII)-04509 of the Securities and Futures Commission, Ministry of Finance; for enforcement from the date of issuance
3. Articles 5, 7, 9, 10-15, and 17 amended and issued, and Articles 9-1, 16-1, and 32-1 newly added, per 16 December 2002 Order No. Taiwan-Finance-Securities-VII-0910006206 of the Securities and Futures Commission, Ministry of Finance
4. Articles 2, 3, 9, 17, and 29 amended and issued per 22 March 2006 Order No. Financial-Supervisory-Securities-VII-0950001382 of the Financial Supervisory Commission, Executive Yuan
5. Article 30 amended and issued, and Article 9-2 newly added, per 24 December 2007 Order No. Financial-Supervisory-Securities-VII-0960070108 of the Financial Supervisory Commission, Executive Yuan
6. Article 30 amended and issued per 4 March 2009 Order No. Financial-Supervisory-Securities-VII-0980007543 of the Financial Supervisory Commission, Executive Yuan
7. Articles 3 and 23 amended and issued per 8 July 2009 Order No. Financial-Supervisory-Securities-Futures-0980033249 of the Financial Supervisory Commission, Executive Yuan
8. Articles 19, 26, 27, and 31 amended and issued per 3 May 2010 Order No. Financial-Supervisory-Securities-Futures-0990017581 of the Financial Supervisory Commission, Executive Yuan
9. Articles 9-1, 9-2, and 28 amended and issued per 2 August 2010 Order No. Financial-Supervisory-Securities-Futures-0990041012 of the Financial Supervisory Commission, Executive Yuan
10. Articles 2 and 17 amended and issued per 29 May 2014 Order No. Financial-Supervisory-Securities-Futures-1030013322 of the Financial Supervisory Commission
11. Articles 10 and 13 amended per 6 January 2015 order No. Financial-Supervisory-Securities-Futures-1030050108 of the Financial Supervisory Commission