Regulations Governing Securities Firms Article 15
A securities firm, unless concurrently operated by a financial institution and subject to other relevant laws or regulations, shall not act as a guarantor of any nature, make endorsement for transfer of negotiable instruments, or provide property as security for other persons without the approval of the FSC.
中文原文 證券商管理規則第15條
證券商除由金融機構兼營者另依有關法令規定外，非經本會核准，不得為任何保證人、票據轉讓之背書或提供財產供他人設定擔保。