Regulations Governing Foreign Exchange Brokers Article 5
〈Investment Limits〉For foreign exchange brokers, the investment of an investor, or its investment combined with that of its related parties shall conform to the following provisions:1.The investor or its related party is a domestic or foreign financial institution engaging in deposit and lending business: the investment of an investor, or its investment combined with that of its related parties shall not exceed 10 percent of the total capital of said foreign exchange broker.2.Neither the investor nor any of its related party is a financial institution defined in the preceding subparagraph: the investment of an investor, or its investment combined with that of its related parties shall not exceed 20 percent of the total capital of said foreign exchange broker.The scope of related party under the preceding paragraph is as follows:1.If the investor is a natural person, his/her related parties include:(1)The investor’s spouse and relatives by blood within the second degree of kinship.(2)An enterprise in which the investor and natural persons referred to in the preceding item combined holds more than one third of its outstanding voting shares or more than one third of its capital, or an enterprise or a foundation in which they act as its chairman, president or directors representing a majority of directors.2.If the investor is a juristic person, its related parties include:(1)The chairman and president of the investor and its parent company as well as the spouse and relatives by blood within the second degree of kinship of that chairman and president.(2)A natural person who holds directly or indirectly 25 percent or more of shares or capital.(3)An enterprise in which the natural person referred to in the preceding two items hold more than one third of its outstanding voting shares or more than one third of its capital, or an enterprise or a foundation in which they act as its chairman, president or directors representing a majority of directors.(4)The affiliated enterprises of the investor. An affiliated enterprise shall be defined under Articles 369-1 through 369-3, Article 369-9 and Article 369-11 of the Company Act.The enterprise in the preceding paragraph refers to a corporation, limited partnership, partnership or sole proprietorship.At the time when the amendments to these Regulations are promulgated on September 14, 2021, if the combined investment of the investor with that of his/her/its related parties fails to meet the requirements under the first Paragraph, they are required to make adjustments to meet those requirements within six months after the amendments to these Regulations have taken effect.The provisions in the preceding four paragraphs do not apply to international money brokerage firms that are permitted to invest by the Bank.
中文原文 外匯經紀商管理辦法第5條
外匯經紀商投資人單一或與其關係人之投資額應符合下列規定：
一、投資人或其關係人為國內外經營存放款業務之金融機構：投資人單一或與其關係人合計之投資額不得超過該外匯經紀商資本總額百分之十。
二、投資人及其關係人皆為前款金融機構以外之人：投資人單一或與其關係人合計之投資額不得超過該外匯經紀商資本總額百分之二十。
前項關係人之範圍如下：
一、投資人為自然人，其關係人包括：
（一）投資人之配偶及二親等以內血親。
（二）投資人與前目自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、投資人為法人，其關係人包括：
（一）投資人及其母公司之董事長、總經理及該董事長、總經理之配偶與二親等以內血親。
（二）直接或間接持有投資人股份或資本超過百分之二十五之自然人。
（三）前兩目自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（四）投資人之關係企業。
關係企業依公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定認定之。
前項所稱企業指公司、有限合夥、合夥及獨資經營之事業。
本辦法中華民國一百十年九月十四日修正條文施行時，投資人與其關係人合計之投資額未符合第一項規定者，應於本辦法修正施行後六個月內調整符合規定。
前四項規定，於國際性之專業貨幣經紀商經本行許可投資者，不適用之。
一、投資人或其關係人為國內外經營存放款業務之金融機構：投資人單一或與其關係人合計之投資額不得超過該外匯經紀商資本總額百分之十。
二、投資人及其關係人皆為前款金融機構以外之人：投資人單一或與其關係人合計之投資額不得超過該外匯經紀商資本總額百分之二十。
前項關係人之範圍如下：
一、投資人為自然人，其關係人包括：
（一）投資人之配偶及二親等以內血親。
（二）投資人與前目自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
二、投資人為法人，其關係人包括：
（一）投資人及其母公司之董事長、總經理及該董事長、總經理之配偶與二親等以內血親。
（二）直接或間接持有投資人股份或資本超過百分之二十五之自然人。
（三）前兩目自然人持有已發行有表決權股份或資本額合計超過三分之一之企業，或擔任董事長、總經理或過半數董事之企業或財團法人。
（四）投資人之關係企業。
關係企業依公司法第三百六十九條之一至第三百六十九條之三、第三百六十九條之九及第三百六十九條之十一規定認定之。
前項所稱企業指公司、有限合夥、合夥及獨資經營之事業。
本辦法中華民國一百十年九月十四日修正條文施行時，投資人與其關係人合計之投資額未符合第一項規定者，應於本辦法修正施行後六個月內調整符合規定。
前四項規定，於國際性之專業貨幣經紀商經本行許可投資者，不適用之。