Regulations
Title Download / Link Updated Date
A. Management Regulations
1. *Regulations Governing Leverage Transaction Merchants Link 2019.08.01
(A) Attachment 1: Application, Statement and Auditing Form of Futures Commission Merchant Concurrently Operating Leverage Transaction Merchants Download 2019.08.01
(B) Attachment 2: Application, Statement and Auditing Form of Futures Commission Merchant Concurrently Operating Leverage Transaction Merchants License Download 2019.08.01
2. SFB Interpreted That Operating Leverage Contract Trading of Equity Derivatives By Physical Delivery Is Not Applicable Securities and Exchange Act, Article 150 Link 2019.08.01
3. (A) The Application and Statement Download 2019.08.01
    (B) The Auditing Form for Risk Management of Futures Commission Merchant Concurrently Operating Leverage Transaction Merchants Download 2019.08.01
4. Reporting List for Leverage Transaction Merchants Download 2019.08.01
(A) Reporting Form 1: Start-Up Notification Download 2019.08.01
(B) Reporting Form 2: Closed Notification Download 2019.08.01
(C) Reporting Form 3: Resuming Business Notification Download 2019.08.01
(D) Reporting Form 4: Customer Margin Account Notification Download 2019.08.01
(E) Reporting Form 5: Operating The Article 3.1.(3) Through (6) of Regulation Governing Transaction Merchant Notification Download 2019.08.01
B. Trading Regulations
1. (A) The Application Form for Leverage Transaction Merchants Operating Leverage Contact Trading Download 2019.08.01
(B) The Reporting for Leverage Transaction Merchants Having Operated Leverage Contract Trading Download 2019.08.01
(C) The Auditing Form for Leverage Transaction Merchants Operating Leverage Contact Trading Download 2019.08.01
(D) The Auditing Form for Leverage Transaction Merchants Having Operated Leverage Contact Trading Download 2019.08.01
(E) The Detailed List of Structured Products Fund Using Download 2019.08.01
2. Contract of Leverage Transaction Merchants Operating Leverage Contract Trading Download 2019.08.01
3. Information Reporting of Leverage Transaction Merchants Operating Leverage Contract Trading Download 2019.08.01
C. Standards for The Internal Control System
1. Table Contents of Leverage Transaction Merchants' Internal Control System Download 2019.08.01
2. General Rules Download 2019.08.01
3. Leverage Transaction Merchants' Internal Control System - Business and Revenue Cycle Download 2019.08.01
4. Table Contents of Leverage Transaction Merchants' Internal Auditor System Download 2019.08.01
5. Leverage Transaction Merchants' Internal Auditor System - Business and Revenue Cycle Download 2019.08.01
6. Detailed List of Leverage Transaction Merchants' Internal Auditor System Download 2019.08.01
D. Others
1. Compliance Items of Leverage Transaction Merchants Operating Leverage Contract Trading By Electronic Method Link 2019.08.01

Remark: Title with * indicates English version is available.

Documents
Title Download Updated Date
1. The Orientation of Futures Commission Merchants Accepting Orders To Trade Leverage Margin Transactions Download 2019.08.01
2. The Seminar of Regulatory Amendment for Leverage Transaction Merchants Download 2019.08.01
3. ANC Calculation Presentation Download 2019.08.01

Remark: The documents are currently not available in English.