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Q：
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Is it permissible to establish a limited company to operate a securities investment consulting business?
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A：
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No, only a company limited by shares is permitted to operate in this industry, and the company name must explicitly include the words “Securities Investment Consulting”
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Q：
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Is there a minimum capital requirement?
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A：
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Yes. The paid-in capital must not be less than TWD 20,000,000.
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Q：
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Which authority is responsible for the registration of a securities investment consulting business?
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A：
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Applicants shall be submitted to the Securities and Futures Bureau of the Financial Supervisory Commission.
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Q：
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Are there any specific requirements for managers and business personnel?
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A：
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Such personnel shall meet the qualification requirements prescribed under the Regulations Governing Responsible Persons and Associated Persons of Securities Investment Consulting Enterprises.
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Q：
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Which association must a securities investment consulting enterprise join?
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A：
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It shall become a member of the Securities Investment Trust and Consulting Association of the R.O.C. (SITCA).
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FAQ
