Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 10
A SITE or a SICE shall, in accordance with the provisions below, lodge an operating bond with a financial institution that is a qualified custodian, and that meets the conditions prescribed by the FSC:1. Where the paid-in capital of the SITE or SICE is less than NT$100 million, the bond shall be NT$10 million.2. Where the paid-in capital of the SITE or SICE is NT$100 million or more but less than NT$200 million, the bond shall be NT$15 million.3. Where the paid-in capital of the SITE or SICE is NT$200 million or more but less than NT$300 million, the bond shall be NT$20 million.4. Where the paid-in capital of the SITE or SICE is NT$300 million or more, the bond shall be NT$25 million.The operating bond referred to in the preceding paragraph may be lodged in the form of cash, bank deposits, government bonds, or financial bonds. Such assets may not be pledged or provided in any manner as collateral, and the bond may not be lodged in separate parts with different financial institutions. The FSC shall be notified by letter for its approval prior to any withdrawal of the bond or change in the institution at which the bond is deposited.When there is an increase in the paid-in capital of a SICE, the SICE shall increase the amount of the operating bond lodged with the financial institution, following the prescriptions of paragraph 1.Directions regarding provision of the operating bond of paragraph 1 shall be adopted by the SITCA and reported to the FSC by letter for approval; the same shall apply to any amendment thereto.When a SITE or a SICE is concurrently operated by a non-industry enterprise, with the exception of a futures trust enterprise, its operating capital, rather than paid-in capital, shall be used in calculating the amounts under paragraphs 1 and 3.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第10條
證券投資信託事業或證券投資顧問事業應依下列規定，向得辦理保管業務，並符合本會所定條件之金融機構提存營業保證金：
一、實收資本額未達新臺幣一億元者，提存新臺幣一千萬元。
二、實收資本額新臺幣一億元以上而未達新臺幣二億元者，提存新臺幣一千五百萬元。
三、實收資本額新臺幣二億元以上而未達新臺幣三億元者，提存新臺幣二千萬元。
四、實收資本額新臺幣三億元以上者，提存新臺幣二千五百萬元。
前項營業保證金應以現金、銀行存款、政府債券或金融債券提存，不得設定質權或以任何方式提供擔保，且不得分散提存於不同金融機構；提存金融機構之更換或營業保證金之提取，應函報本會核准後始得為之。
證券投資顧問事業之實收資本額增加時，應依第一項規定，向提存之金融機構增提營業保證金。
第一項營業保證金之處理要點，由同業公會擬訂，函報本會核定；修正時亦同。
他業兼營者，除期貨信託事業外，第一項及第三項規定之實收資本額，改按指撥營運資金計算。
一、實收資本額未達新臺幣一億元者，提存新臺幣一千萬元。
二、實收資本額新臺幣一億元以上而未達新臺幣二億元者，提存新臺幣一千五百萬元。
三、實收資本額新臺幣二億元以上而未達新臺幣三億元者，提存新臺幣二千萬元。
四、實收資本額新臺幣三億元以上者，提存新臺幣二千五百萬元。
前項營業保證金應以現金、銀行存款、政府債券或金融債券提存，不得設定質權或以任何方式提供擔保，且不得分散提存於不同金融機構；提存金融機構之更換或營業保證金之提取，應函報本會核准後始得為之。
證券投資顧問事業之實收資本額增加時，應依第一項規定，向提存之金融機構增提營業保證金。
第一項營業保證金之處理要點，由同業公會擬訂，函報本會核定；修正時亦同。
他業兼營者，除期貨信託事業外，第一項及第三項規定之實收資本額，改按指撥營運資金計算。