Management Guidelines and Related Rules

The Taipei Exchange Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms have been adopted to establish the rights and obligations of securities firms and equity crowdfunding companies and the financial service regulations, equity crowdfunding procedures and other important rules for securities firms.

To provide a set of more definite internal control guidelines for securities firms conducting equity crowdfunding, the Taipei Exchange has added equity crowdfunding operation to the internal control standards and guidelines, and amended the related internal audit implementation rules, audit reports and working papers for securities firms.

Furthermore, given that securities firms conducting equity crowdfunding are required to set up online crowdfunding platforms, disclose company profiles and other information, and implement information security controls, the Taipei Exchange has amended the standards for place of business and equipment used by such securities firms as well as the information security checklist for equity crowdfunding.

Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms

Document Download Update
Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms Download 2019.01.02
Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms (Attachment 1) -Application forms of applying to enter into a contract for the conduct of equity crowdfunding business Download 2017.12.04
Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms (Attachment 2) -Contracts for the conduct of equity crowdfunding business Download 2015.04.30
Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms(Attachment 3) -The fundraising plans Download 2016.01.08
Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms(Attachment 4) -Risk Disclosure Statements Download 2015.04.30