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Legislative History

Title： Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises CH
Announced Date： 2004-10-30
Amended Date： 2022-11-30
Category： Financial Supervisory Commission（金融監督管理委員會）
1. Full text of 44 articles adopted and issued per 30 October 2004 Order No. Financial-Supervisory-Securities-IV-0930005187 of the Financial Supervisory Commission, Executive Yuan; for enforcement from the date of issuance
2. Articles 2, 6, 8, 10, 12 to 14, 16, 17, 22, 23, 28, 29, 32 to 34, 41, and 43 amended and issued, Articles 17-1 and 42-1 added, and Article 15 deleted per 20 January 2006 Order No. Financial-Supervisory-Securities-IV-0950000371 of the Financial Supervisory Commission, Executive Yuan
3. Articles 14, 16, 41, and 43 amended and issued, Articles 8-1 and 22-1 added per 5 February 2007 Order No. Financial-Supervisory-Securities-IV-0960004182 of the Financial Supervisory Commission, Executive Yuan
4. Articles 2, 4 to 6, 8, 10, 13, 14, 21 to 23, 33, 34, 38, 41, and 43 amended and issued and Chapter 4-1 and Articles 7-1, 14-1, and 41-1 to 41-3 added per May 12 2008 Order No. Financial-Supervisory-Securities-IV-0970018976 of the Financial Supervisory Commission, Executive Yuan
5. Articles 1, 4 to 7, 16, 22, 32, 41, and 41-1 amended and issued, Articles 2-1, 7-1, 7-2, 19-1, 31-1, 31-2, and 31-3 added, and Article 7-1 accordingly renumbered as Article 7-3 20 per August 2009 Order No. Financial-Supervisory-Securities-SITC-0980042046 of the Financial Supervisory Commission, Executive Yuan
6. Articles 2, 8, 21, 28, 31-1, and 44 amended and issued per 1 August 2012 Order Financial-Supervisory-Securities-SITC-1010032368 of the Financial Supervisory Commission; for enforcement from the date of issuance except for Article 21, which shall be enforced from the fiscal year 2013.
7. Articles 2, 10, 16, 17-1, 23, and 31-3 amended and issued, and article 43 deleted, per 29 May 2014 Order No. Financial-Supervisory-Securities-SITC-10300133221 of the Financial Supervisory Commission
8. Articles 4 to 6 amended and issued per 28 August 2014 Order Financial-Supervisory-Securities-Firms-1030030988 of the Financial Supervisory Commission
9. Articles 5, 6, and 7-3 amended and issued per 4 January 2016 Order No. Financial-Supervisory-Securities-SITC-1040052431 of the Financial Supervisory Commission
10. Articles 4, 5, 11, 21, 22, 26, 28, and 29 amended and issued per 30 July 2018 Order No. Financial-Supervisory-Securities-SITC-1070326730 of the Financial Supervisory Commission
11. Articles 11, 19, and 36 amended and issued per 8 December 2021 Order No. Financial-Supervisory-Securities-SITC-1100365223 of the Financial Supervisory Commission
12. Article 2 amended and issued per 30 November 2022 Order No. Financial-Supervisory-Securities-SITC-1110385184 of the Financial Supervisory Commission