pc
nid 91829
Apr 09, 2026
rghosh@vixio.com
Taiwan
Financial Supervisory Commission (FSC) - Securities Bureau -
financial services
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1190 charsTaiwan's Financial Supervisory Commission Amends Wealth Management Guidelines for Securities Companies
On April 9, 2026, the Financial Supervisory Commission (FSC), Securities and Futures Bureau issued an amendment to the "Matters Requiring Attention for Securities Companies Conducting Wealth Management Business" (FSC Securities Letter No. 11503809664).
The amendment modifies specific provisions governing how securities companies in Taiwan conduct wealth management operations. The FSC issued this directive to securities companies operating in the wealth management sector, establishing updated requirements and standards for their business practices. The amendment became effective immediately upon issuance.
The FSC has published a comprehensive summary document and a detailed comparison table outlining the amendments and their corresponding provisions to assist securities companies in understanding and implementing the changes. Securities companies are required to ensure compliance with the amended guidelines.
REFERENCES:
Financial Supervisory Commission, Securities and Futures Bureau. "修正「證券商辦理財富管理業務應注意事項」部分規定之令" (Amendment to Matters Requiring Attention for Securities Companies Conducting Wealth Management Business). April 9, 2026. Available at: https://www.sfb.gov.tw/
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922 charsTaiwan's Financial Supervisory Commission Amends Wealth Management Guidelines for Securities Companies
On April 9, 2026, the Financial Supervisory Commission (FSC), Securities and Futures Bureau issued an amendment to the "Matters Requiring Attention for Securities Companies Conducting Wealth Management Business" (FSC Securities Letter No. 11503809664).
The amendment modifies specific provisions governing how securities companies in Taiwan conduct wealth management operations. The FSC issued this directive to securities companies operating in the wealth management sector, establishing updated requirements and standards for their business practices.
The amendment became effective immediately upon issuance. The FSC has published a comprehensive summary document and a detailed comparison table outlining the amendments and their corresponding provisions to assist securities companies in understanding and implementing the changes. Securities companies are required to ensure compliance with the amended guidelines.