Draft Regulations Governing Securities Firms' Approval for Non-Purpose-Specific Borrowing or Lending Pursuant to Article 45 of the Securities and Exchange Act

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Regulations Governing the Approval of Securities Firms to Conduct Non-Purpose-Specific Borrowing or Lending Business Pursuant to the Proviso of Paragraph 1 of Article 45 of the Securities and Exchange Act.

2026-04-14

According to the Financial Supervisory Committee (FSC), to activate the flexibility of capital allocation for foreign bond assets held by investors and allow securities dealers to provide more comprehensive financing services, it intends to amend the requirements for non-restricted-purpose loans offered by securities dealers under Order Jin-Guan-Zheng-Quan No. 1100365649 dated December 28, 2021. It has issued the draft notice recently in accordance with the Administrative Procedure Act. The amendment emphasis includes: I. Added that “foreign bonds” can be the collateral for non-restricted-purpose loans, and stated that borrowings in NTD cannot be changed to foreign currencies. II. Stated that the requirements related to foreign bonds in Article 6 of the “Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities” shall apply to the scope of foreign bonds, and the bonds shall be rated investment grade by a credit rating company recognized by the FSC. According to the FSC, the lifting of restrictions can activate foreign bond assets held by investors, improve capital allocation flexibility and asset utilization efficiency, and allow securities dealers to provide more comprehensive financing services. Securities dealers can thus integrate sub-brokerage, loans, ledgers, and brokerage services for stocks in Taiwan with other businesses, providing one-stop financial services to investors to improve the competitiveness of securities dealers. The amendment draft will be published in the Executive Yuan Gazette, while the general description and comparison table for the amended articles of the draft will be published on the website of the FSC. If you have any opinions, please provide them on the “Draft Notice” page on the “Laws and Regulations Retrieving System,” a website of the FSC, or contact the Securities and Futures Bureau, FSC.

Contact Unit: Securities Dealers Management Division, Securities and Futures Bureau Tel.: (02)2774-7401

If you have any questions, please send an e-mail to the mailbox of the FSC.

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Update： 2026-04-17

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