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Regulator Performance Overview
335
56
22
0
5
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
Registers available
Tier 2
Futures Commission Merchant; bank FX margin
Not specified
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
This regulator shows below average performance with an overall score of 56.
Strongest performance in License Value
Transparency Level: Registers available
Global Tier: tier2
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Government-regulated
Per local law; typical sanctions
China
Taiwan
Per local law; typical sanctions
Domestic FCMs/banks only
Online portal available (https://www.sfb.gov.tw/en/home.jsp?id=88&parentpath=0,6)
FSC/SFB complaints
1:20
5 instruments
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Access to international regulatory standards, cooperation frameworks, and best practices
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Effectiveness of regulatory framework and enforcement
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
The Securities and Futures Bureau (SFB), established in 2004, is one of Taiwan's key regulatory authorities responsible for policy-making, regulation, and development of Taiwan's capital markets under the direction of the Financial Supervisory Commission (FSC) of Taiwan.
The SFB's primary objectives are to facilitate Taiwan's national economic growth, ensure and maintain the sound developmental direction of securities and futures markets, promote fair trading in these markets, and safeguard the rights and interests of both investors and traders.
The SFB has essential responsibilities to create and maintain financial policies, laws, and regulations, as well as to supervise domestic and international activities in the capital markets.
As the executive unit for the FSC, the SFB is focused on establishing a competitive, transparent, and innovation-oriented financial environment, enabling investors, companies, and financial institutions to operate with confidence in a well-regulated financial system.
Bond, Stocks, Options, Securities, Futures
Brokers authorized and regulated by this authority
Taiwan
