Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 6
The capital of a SICE may not be loaned to others, used to purchase real estate unconnected with SICE business operations, or transferred for other uses. Utilization of capital not required for business operations shall be restricted to the following:1. Deposit in domestic banks;2. Purchase of domestic government bonds or financial bonds;3. Purchase of domestic treasury bills, negotiable certificates of deposit, or commercial paper;4. Purchase, in the prescribed ratio, of securities investment trust fund beneficial certificates that conform with FSC regulations;5. Other uses approved by the FSC.A SICE may not provide guarantees, endorse negotiable instruments, or provide assets for use as collateral by others except when in compliance with Article 16, paragraph 1 of the Company Act and with prior FSC approval.
中文原文 證券投資顧問事業管理規則（931030訂定）第6條
證券投資顧問事業之資金，不得貸與他人、購置非營業用之不動產或移作他項用途；非屬經營業務所需者，其資金運用以下列為限：
一、國內之銀行存款。
二、購買國內政府債券或金融債券。
三、購買國內之國庫券、可轉讓銀行定期存單或商業票據。
四、購買符合本會規定條件及一定比率之證券投資信託基金受益憑證。
五、其他經本會核准之用途。
證券投資顧問事業除符合公司法第十六條第一項規定，並經本會核准者外，不得為保證、票據之背書或提供財產供他人設定擔保。
一、國內之銀行存款。
二、購買國內政府債券或金融債券。
三、購買國內之國庫券、可轉讓銀行定期存單或商業票據。
四、購買符合本會規定條件及一定比率之證券投資信託基金受益憑證。
五、其他經本會核准之用途。
證券投資顧問事業除符合公司法第十六條第一項規定，並經本會核准者外，不得為保證、票據之背書或提供財產供他人設定擔保。