Taiwan proposes amendments to securities regulations

Amongst changes include a capital requirement of NT$100m for dealers.

Taiwan’s Financial Services Commission (FSC) has proposed allowing securities dealers to conduct “self-trading of specific foreign bonds” and amending personnel management regulation of securities firms.

Amongst amendments proposed include adding a capital requirement of NT$100m for securities deals solely engaged in this business.

The FSC also plans to require that the entities’ internal control systems be handled in accordance with the regulations of the Taipei Exchange (TPEx).

TPEx will also be authorized to manage and formulate relevant regulations via amendments in the Regulations Governing Securities Firms.

Rules to be amended include the Standards for Governing Responsible Persons and Associated Persons of Securities Firms.

The FSC also plans to allow non-professional investors to trade with securities dealers' foreign bonds with denominations less than one trading unit and lower the cap on the total foreign bond position held by securities firms conducting this business.

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Financial Supervisory Commission

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