Regulatory Alerts2026-06-15
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Order on the Scope of Securities Trading Auxiliary Business for Futures Dealers under Article 3, Paragraph 3
The Financial Supervisory Commission issued an order defining the scope of securities trading auxiliary business for futures dealers, limiting it to securities listed on the Taiwan Stock Exchange and the Taipei Exchange, as well as OTC stocks, public subscription, and foreign securities. The scope for foreign securities trading is governed by the Management Rules for Securities Dealers Entrusted to Trade Foreign Securities. This order took effect immediately and repealed the previous directive issued on August 6, 2014.
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Order on the Provisions of Article 3, Paragraph 3 of the Rules Governing the Operation of Securities Trading Auxiliary Business by Futures Dealers. (Jin Guan Zheng Quan Zi No. 1150343879)
2026-06-15
Financial Supervisory Commission Order Date of Issue: June 15, Year 115 of the Republic of China Document Number: Jin Guan Zheng Quan Zi No. 1150343879
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Pursuant to Article 3, Paragraph 3 of the Rules Governing the Operation of Securities Trading Auxiliary Business by Futures Dealers, the scope for securities trading auxiliaries to accept securities trading orders from securities investors and deliver them to securities brokers for execution is limited to securities (including margin trading and short selling) listed for trading on the Taiwan Stock Exchange Corporation and the Taipei Exchange, trading of stocks listed for quotation, public subscription, and trading of foreign securities.
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The scope of trading in foreign securities referred to in the preceding point shall be handled in accordance with Article 5, Paragraph 1 and Article 6, Paragraph 1 of the Management Rules for Securities Dealers Entrusted to Trade Foreign Securities.
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This order takes effect on the date of issuance; the Order of the Commission dated August 6, Year 103 of the Republic of China (Jin Guan Zheng Quan Zi No. 1030025906) is hereby repealed effective immediately.
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Last Updated: 2026-06-15
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