Regulations Governing Futures Commission Merchants Article 14
After completion of corporate registration, a futures commission merchant shall lodge an operating bond with a financial institution designated by the FSC, in accordance with the following provisions:1. futures broker: 50 million New Taiwan Dollars.2. futures dealer: 10 million New Taiwan Dollars.3. merchant operating both businesses in the preceding two subparagraphs: sum total of the amounts referred to in the preceding two subparagraphs.4. branch unit: additional 5 million New Taiwan Dollars for each branch.The provisions in subparagraphs 1 through 4 above shall apply mutatis mutandis to other enterprises concurrently engaged in futures trading and to foreign futures commission merchants, both of which shall further be governed by the following provisions:1. Other enterprises applying to concurrently engage in brokerage of the type of futures contracts set forth in Article 25, paragraph 2, subparagraphs 1 to 3 or Article 40, paragraph 2, subparagraphs 1 to 3 of the Regulations Governing the Establishment of Futures Commission Merchants shall lodge an operating bond of 15 million New Taiwan Dollars.2. Other enterprises applying to concurrently engage in brokerage of the type of futures contracts set forth in Article 25, paragraph 2, subparagraph 4 or Article 40, paragraph 2, subparagraph 4 of the Regulations Governing the Establishment of Futures Commission Merchants shall lodge an operating bond of 25 million New Taiwan Dollars.3. A foreign futures commission merchant applying to engage only in the sub-brokered foreign futures trading services set forth in Article 20, paragraph 2 of the Establishment Criteria of Futures Commission Merchants shall lodge an operating bond of 15 Million New Taiwan Dollars.The financial institutions referred in paragraph 1 are those banks that have been approved by the FSC to provide custodian services, and which meet the conditions prescribed by the FSC.A financial institution concurrently engaged in futures trading shall lodge its operating bond with another financial institution.The operating bond referred to in paragraph 1 above shall be lodged in the form of cash, government bonds, or financial bondsThe operating bond lodged by a futures commission merchant may not be placed in divided custody, reported lost, or canceled. The items lodged as bond, and the associated custodial receipt, shall not be encumbered in any way, nor shall they be withdrawn or replaced without the approval of the FSC.
中文原文 期貨商管理規則第14條
期貨商應於辦理公司登記後，依下列規定，向本會指定之金融機構繳存營業保證金：
一、期貨經紀商：新臺幣五千萬元。
二、期貨自營商：新臺幣一千萬元。
三、經營前二款業務者：依前二款規定併計之。
四、設置分支機構：每設置一家增提新臺幣五百萬元。
他業兼營期貨業務者及外國期貨商，向本會指定金融機構所繳存之營業保證金，除下列規定外，準用前項第一款至第四款規定：
一、他業申請兼營期貨商設置標準第二十五條第二項第一款至第三款或第四十條第二項第一款至第三款規定之期貨經紀業務者，繳存營業保證金為新臺幣一千五百萬元。
二、他業申請兼營期貨商設置標準第二十五條第二項第四款或第四十條第二項第四款規定之期貨經紀業務者，繳存營業保證金為新臺幣二千五百萬元。
三、外國期貨商依期貨商設置標準第二十條第二項規定僅申請經營國外期貨交易複委託業務者，繳存營業保證金為新臺幣一千五百萬元。
第一項之金融機構應為經本會核准經營保管業務，並符合本會所定條件之銀行。
兼營期貨業務之金融機構應將營業保證金繳存於其他金融機構。
第一項之營業保證金，應以現金、政府債券或金融債券繳存。
期貨商所繳存之營業保證金不得分散存放、辦理掛失或解約，所繳存之標的及其保管憑證不得設定任何擔保，且非經本會核准，不得辦理提取或調換。
一、期貨經紀商：新臺幣五千萬元。
二、期貨自營商：新臺幣一千萬元。
三、經營前二款業務者：依前二款規定併計之。
四、設置分支機構：每設置一家增提新臺幣五百萬元。
他業兼營期貨業務者及外國期貨商，向本會指定金融機構所繳存之營業保證金，除下列規定外，準用前項第一款至第四款規定：
一、他業申請兼營期貨商設置標準第二十五條第二項第一款至第三款或第四十條第二項第一款至第三款規定之期貨經紀業務者，繳存營業保證金為新臺幣一千五百萬元。
二、他業申請兼營期貨商設置標準第二十五條第二項第四款或第四十條第二項第四款規定之期貨經紀業務者，繳存營業保證金為新臺幣二千五百萬元。
三、外國期貨商依期貨商設置標準第二十條第二項規定僅申請經營國外期貨交易複委託業務者，繳存營業保證金為新臺幣一千五百萬元。
第一項之金融機構應為經本會核准經營保管業務，並符合本會所定條件之銀行。
兼營期貨業務之金融機構應將營業保證金繳存於其他金融機構。
第一項之營業保證金，應以現金、政府債券或金融債券繳存。
期貨商所繳存之營業保證金不得分散存放、辦理掛失或解約，所繳存之標的及其保管憑證不得設定任何擔保，且非經本會核准，不得辦理提取或調換。