Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 7
A SICE, after carrying out company registration, shall submit an operating bond in the amount of NT$5 million to a financial institution that is allowed to operate custodial business, and meets the conditions prescribed by the FSC. Submission of the bond is not required if the SICE has already submitted an operating bond pursuant to Article 10 of the Regulations Governing Offshore Funds or Article 10 of the Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises.The operating bond of the preceding paragraph shall 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. Any change in the financial institution with which the bond is lodged or withdrawal of the operating bond may only be carried out after reporting the matter in writing and receiving approval from the FSC.Directions for handling the operating bond of paragraph 1, and any subsequent amendments thereto, shall be formulated by the SITCA and reported in writing to the FSC for approval.
中文原文 證券投資顧問事業管理規則（931030訂定）第7條
證券投資顧問事業應於辦理公司登記後，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新臺幣五百萬元。
但證券投資顧問事業已依境外基金管理辦法第十條或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十條之規定提存營業保證金者，不在此限。
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。
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。
但證券投資顧問事業已依境外基金管理辦法第十條或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十條之規定提存營業保證金者，不在此限。
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。
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。