Regulations
Title Download / Link Updated Date
A. Trading Regulations
1. *Taipei Exchange Regulations Governing Over-The-Counter Trading of Financial Derivatives By Securities Firms Link 2019.08.01
(A) Attachment 1: The Application Form of Taipei Exchange Regulations Governing Over-The-Counter Trading of Derivatives By Securities Firms Download 2019.08.01
(B) Attachment 2: The Notification Form of Securities Firms Operating Over-The-Counter Derivatives Download 2019.08.01
(C) Attachment 3: The Auditing Report Form of Securities Firms Applying to Operate Over-The-Counter Derivatives Download 2019.08.01
(D) Attachment 4: The Auditing Report Form For Over-The-Counter Derivatives That Securities Firms Have Already Operated Download 2019.08.01
2. Explain That Securities Firms Could Use Hedging Account to Trade Convertible/Exchangeable Corporate Bond Download 2019.08.01
3. Explain That Relative Business Licenses of Over-The-Counter Derivatives Link 2019.08.01
4. Explain That The Same Kind of Structured Products and Trading Day/Effective Day/Maturity Day Download 2019.08.01
5. Amount Control Checklist of Over-The-Counter Trading of Financial Derivatives By Securities Firms Download 2019.08.01
B. Directions And Supplementary Specifications
1. *Taipei Exchange Directions for Providing Financial Derivative Services to General Customers Link 2019.08.01
2. (A) The Application Form of Securities Firms Accepting Orders to Trade Financial Derivatives Download 2019.08.01
    (B) The Auditing Report Form of Securities Firms Accepting Orders to Trade Financial Derivatives Download 2019.08.01
C. Hedging Accounts And Physical Exercise
1. Loosen The Actual Delivery Day of Structured Products and Equity Derivatives Changing to T+1 or T+2 Link 2019.08.01
2. Cancel The Hedging Declaration, But Declare The Structured Products Fund Using Guideline Download 2019.08.01
3. Banks Could Open Multiple Hedging Accounts Due to Operating Equity Structured Products and Equity Derivatives Download 2019.08.01
4. Directions of Hedging Accounts, Delivery and Information Declaration For Banks Operating Equity Derivatives Download 2019.08.01
5. Directions of Hedging Accounts, Delivery and Information Declaration For Banks Operating Equity Structured Products Download 2019.08.01
6. TDCC Informs The Transfer Procedure of Banks Operating Equity Structured Products Physical Delivery Download 2019.08.01
D. Information Integration Platform
1. Declare That Financial Institutions Cease Reporting Monthly Trading and Outstanding Balance of Derivatives and Structured Products Link 2019.08.01
2. Banking Bureau Requested The Bankers Association of The Republic of China to Inform The Cooperation of Members Download 2019.08.01
3. Banking Bureau Requested The Trust Association of The Republic of China to Inform The Cooperation of Members Download 2019.08.01
4. Insurance Bureau Requested The Bill Finance Association of Republic of China to Inform The Cooperation of Membe Download 2019.08.01
5. Insurance Bureau Requested The Life Insurance Association of The Republic of China to Inform The Cooperation of Members Download 2019.08.01
E. Others
1. Application Form and The List of Required Tasks for Securities Firms Operating Non-Hedging Derivatives Transactions Link 2019.08.01
2. Structured Products Margin Account Download 2019.08.01
3. Compliance Items of Securities Firms Operating Over-The-Counter Trading of Derivatives By Electronic Method Link 2019.08.01
4. Measures of Risk Disclosure Statement By Electronic Signature and Explanation By Assigned Person For Different Status Customers Link 2019.08.01

Remark: Title with * indicates English Version is available.

Documents
Title Download Updated Date
The Orientation of Regulatory Amendment and Compliance On Operating OTC Derivatives For Securities Firms and Leverage Transaction Merchants, Aug. 2, 2017. Download 2019.08.01
The Orientation of Regulatory Amendment On Operating OTC Derivatives For Securities Firms and Leverage Transaction Merchants. Download 2019.08.01
The Orientation of Regulatory Amendment On Operating OTC Derivatives For Securities Firms. Download 2019.08.01
The Orientation of Regulatory Amendment On Operating OTC Derivatives For Securities Firms, Q&A After Meeting, Jan. 1, 2015. Download 2019.08.01
The Orientation of Securities Firms Accepting Orders to Trade OTC Derivatives. Download 2019.08.01
The Frequently Asked Questions For Securities Firms' Operating On OTC Derivatives. Download 2019.08.01
The Instruction Manual of Account Change For Convertible (Exchangeable) Corporate Bonds Vendor Bargaining System. Download 2019.08.01
The Instruction Manual of Declaration Data Correction For OTC Derivatives Balance
Download 2019.08.01
The Instruction Manual of Transaction Data Correction For Structured Products
Download 2019.08.01
The Instruction Manual of Declaration Data Correction For Structured Products Manual
Download 2019.08.01
The Instruction Manual of Declaration Data Correction For Reference Market Value of Structured Products
Download 2019.08.01
The Application of Structured Products Trading Margin Requisition/Repayment
Download 2019.08.01
The Instruction Manual of Transaction Data Correction For Equity Derivatives
Download 2019.08.01
*List of Securities Firms to Operate Non-Hedging Derivative Transaction Download 2019.08.01

Remark: Title with * indicates English Version is available.