Monday, August 07, 2017

證券商 Securities Firms

 我國從77 年 (1988)開放證券商設立後

1988 證券商設置標準Standards Governing the Establishment of Securities Firms
1988 證券商管理規則 Regulations Governing Securities Firms
1988 發行人募集與發行有價證券處理準則 Regulations Governing the Offering and Issuance of Securities by Securities Issuers

1989 證券集中保管事業管理規則 Regulations Governing Centralized Securities Depository Enterprises


1990  證券商辦理有價證券買賣融資融券管理辦法 Regulations Governing the Conduct of Securities Trading Margin Purchase and Short Sale Operations by Securities Firms


1991 證券商受託買賣外國有價證券管理規則Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities


1991  證券商財務報告編製準則 Regulations Governing the Preparation of Financial Reports by Securities Firms

1992 外國發行人募集與發行有價證券處理準則 Regulations Governing the Offering and Issuance of Securities by Foreign Issuers

1993 金融業募集發行有價證券公開說明書應行記載事項準則 Regulations Governing Information to be Published in Financial Institution Prospectuses for Offering and Issuance of Securities 

1995 中央銀行對銀行辦理證券金融公司或證券商資金融通管理辦法 Regulations Governing the Central Bank of the Republic of China (Taiwan)Administration of Accommodations Extended by Banks to Securities Finance Companies or Securities Firms

1995  公開收購公開發行公司有價證券管理辦法 Regulations Governing Public Tender Offers for Securities of Public Companies


1997 證券商經營期貨交易輔助業務管理規則 Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms

1999 銀行業保險業信託投資業證券業期貨業票券業及典當業經營非專屬本業收入範圍認定辦法Regulations Governing the Scope of Non-Core Business Income of Banking, Insurance, Trust Investment, Securities, Futures, Commercial paper, and Pawn-Broking Businesses

2002 金融資產證券化條例  Financial Asset Securitization Act


2002  證券投資人及期貨交易人保護法  Securities Investor and Futures Trader Protection Act


2003  不動產證券化條例  Real Estate Securitization Act, Clauses of the Real Estate Securitization Act

2003  證券暨期貨市場各服務事業建立內部控制制度處理準則 Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets 


2006  證券商辦理有價證券借貸管理辦法Regulations Governing Securities Borrowing and Lending by Securities Firms


2006 證券商辦理證券業務借貸款項管理辦法 Regulations Governing Borrowing or Lending Money in Connection with Securities Business by Securities Firms


2008 證券投資信託事業證券投資顧問事業證券商兼營信託業務管理辦法Regulations Governing Concurrent Conduct of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms
Regulations Governing Concurrent Conduct of Trust Business by Securities Investment Trust Enterprises, Securities Investment Consulting Enterprises, and Securities Firms
  

2008 證券商辦理客戶委託保管及運用其款項管理辦法 Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers


2013 證券業辦理外匯業務管理辦法Regulations Governing Foreign Exchange Business of Securities Enterprises

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