National Supervisory Authority & Licensing Qualification Dossier • Asia-Pacific
Financial Supervisory Commission (Taiwan)
Global JurisdictionSource / Native Reference: 金融监督管理委员会
- Supervisory tier
- Tier-2
- License classes
- 2
- Licensed records
- 32
- Active / regulated
- 32
Statutory Supervisory Mandate & Scope
Financial Supervisory Commission (Taiwan) (Financial Supervisory Commission (Taiwan)) authorises and supervises securities broker-dealers, derivatives intermediaries, asset managers, collective investment schemes, and market infrastructure in Global Jurisdiction.
Prudential Tier Assessment
Tier-2Tier-2 national capital markets, securities, and derivatives supervisory authority in Global Jurisdiction, IOSCO member standards-aligned.
National licensing qualifications & statutory authorisation classes (Financial Supervisory Commission (Taiwan))
Authorisation categories, permitted institutional and retail activities, minimum initial capital adequacy, and ongoing prudential solvency rules enforced by Financial Supervisory Commission (Taiwan) in Global Jurisdiction.
| License class / code | Official designation | Permitted institutional & retail activities | Minimum initial / base capital | Ongoing prudential & solvency rule |
|---|---|---|---|---|
| Category 1 / Principal Broker-Dealer | Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) | Dealing as principal or market maker in securities, FX, CFDs, futures, options, and underwriting. | USD $150,000 – $500,000 equivalent minimum paid-up capital | Risk-weighted capital adequacy + minimum liquid capital buffer ≥ 25% of annual fixed overheads. |
| Category 2 / Agency Broker & Asset Manager | Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence | Order execution, reception and transmission of client orders, discretionary portfolio management, and investment advisory. | USD $75,000 – $150,000 equivalent minimum paid-up capital | Strict client money segregation, best-execution monitoring, and quarterly regulatory financial returns. |
Investor compensation, client money segregation & digital-asset regime
Statutory counterparty protections, custody reconciliation mandates, and virtual-asset licensing status under Financial Supervisory Commission (Taiwan).
National Investor Protection / Compensation Scheme (Global Jurisdiction)
- Maximum coverage per client
- Subject to statutory national investor protection fund limits and segregated trust priority
- Eligible counterparties & scope
- Retail clients of licensed securities and investment brokerage firms.
Financial Supervisory Commission (Taiwan) Client Money & Safe Custody Segregation Rules
- Reconciliation & audit cadence
- Daily reconciliation of segregated client trust bank accounts against client trading ledger balances.
- Approved custodian requirements
- Client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories.
Financial Supervisory Commission (Taiwan) Digital Asset / Tokenized Securities & VASP Regulatory Framework
- Travel Rule, custody & stablecoin rules
- FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
Primary Governing Statutes & Rulebooks
- Securities and Capital Markets Act of Global Jurisdiction
- Financial Supervisory Commission (Taiwan) Licensing, Prudential Capital Adequacy & Conduct of Business Rules
- Client Money & Custody Asset Segregation Regulations (Global Jurisdiction)
- IOSCO Principles of Securities Regulation & National AML/CFT Rulebook
Regulatory Reporting & Audit Obligations
Quarterly capital adequacy returns and annual IFRS audited financial statements submitted to Financial Supervisory Commission (Taiwan)Annual independent auditor attestation on Client Money and Safe Custody complianceTransaction reporting, market abuse surveillance (MAR), and AML/CFT suspicious activity reporting
Cross-Border Equivalence & Passporting
Operates under Global Jurisdiction national jurisdiction and IOSCO MMoU cross-border supervisory cooperation.
Supervised institutions & Financial Supervisory Commission (Taiwan) licence records in our database
32 licence records referencing Financial Supervisory Commission (Taiwan) (32 regulated/registered).
| Institution | Licence number | Status | Licensed legal entity | Effective date | Verification |
|---|---|---|---|---|---|
| TAICHUNG BANK(Global network record) | 053 | Regulated | TAICHUNG BANK | — | |
| Cathay United Commercial Bank(Global network record) | Not supplied | Regulated | Cathay United Commercial Bank | — | |
| Mega Bank(Global network record) | 017 | Regulated | Mega Bank | — | |
| SKBank(Global network record) | 103 | Regulated | SKBank | — | |
| Taipei Star Bank(Global network record) | Not supplied | Regulated | Taipei Star Bank | — | |
| Bank Of Kaohsiung(Global network record) | Not supplied | Regulated | Bank Of Kaohsiung | — | |
| Bank of Panhsin(Global network record) | 118 | Regulated | Bank of Panhsin | — | |
| Bank SinoPac(Global network record) | Not supplied | Regulated | Bank SinoPac | — | |
| bank.sinopac(Global network record) | 807 | Regulated | bank.sinopac | — | |
| Chang Hwa Bank(Global network record) | Not supplied | Regulated | Chang Hwa Commercial Bank, Ltd | — | |
| COTA Bank(Global network record) | 147 | Regulated | COTA Bank | — | |
| CTBC Bank(Global network record) | 822 | Regulated | CTBC Bank | — | |
| Eastern Int'l Bank(Global network record) | 805 | Regulated | Eastern Int'l Bank | — | |
| entiebank(Global network record) | 816 | Regulated | entiebank | — | |
| esunbank(Global network record) | Not supplied | Regulated | esunbank | — | |
| Eximbank (Taiwan)(Global network record) | 015 | Regulated | — | — | |
| First Bank(Global network record) | Not supplied | Regulated | First Bank | 1949-12-08 | |
| Hua Nan Bank(Global network record) | Not supplied | Regulated | Hua Nan Bank | — | |
| HWATAI BANK(Global network record) | Not supplied | Regulated | HWATAI BANK | — | |
| ktbanking(Global network record) | 054 | Regulated | ktbanking | — | |
| Land Bank(Global network record) | 005 | Regulated | Land Bank of Taiwan | — | |
| LINE Bank(Global network record) | 824 | Regulated | LINE Bank | 2021-02-04 | |
| NEXT BANK(Global network record) | 823 | Regulated | NEXT BANK | — | |
| O-Bank(Global network record) | 048 | Regulated | O-Bank | — | |
| Rakuten Bank(Global network record) | 826 | Regulated | Rakuten Bank | — | |
| sunnybank(Global network record) | 108 | Regulated | sunnybank | — | |
| Taipei Fubon Bank(Global network record) | Not supplied | Regulated | Taipei Fubon Bank | — | |
| Taishin International Bank(Global network record) | 812 | Regulated | Taishin International Bank | — | |
| Taiwan Business Bank(Global network record) | 050 | Regulated | — | — | |
| UNION BANK OF TAIWAN(Global network record) | 803 | Regulated | UNION BANK OF TAIWAN | — | |
| yuantabank(Global network record) | 806 | Regulated | yuantabank | — | |
| KGI Bank(Global network record) | 809 | Regulated | — | — |
Financial Supervisory Commission (Taiwan) (Global Jurisdiction): institutional licensing & due diligence FAQ
Key statutory capital, compensation, custody segregation, and verification answers for compliance teams.
What are the primary licensing classes and minimum capital requirements under Financial Supervisory Commission (Taiwan) (Global Jurisdiction)?
Financial Supervisory Commission (Taiwan) (Financial Supervisory Commission (Taiwan)) supervises financial institutions in Global Jurisdiction under Securities and Capital Markets Act of Global Jurisdiction and Financial Supervisory Commission (Taiwan) Licensing, Prudential Capital Adequacy & Conduct of Business Rules. Key statutory authorisation classes include: Category 1 / Principal Broker-Dealer (Full-Scope Securities & Derivatives Dealer (Market Maker / Principal) — min. capital: USD $150,000 – $500,000 equivalent minimum paid-up capital); Category 2 / Agency Broker & Asset Manager (Securities Brokerage (Agency / STP) & Discretionary Portfolio Management Licence — min. capital: USD $75,000 – $150,000 equivalent minimum paid-up capital). Ongoing prudential supervision requires strict adherence to capital adequacy and liquidity buffers.
Does Financial Supervisory Commission (Taiwan) provide statutory investor compensation and mandatory client asset segregation?
Under Financial Supervisory Commission (Taiwan)'s framework, investor protection is governed by National Investor Protection / Compensation Scheme (Global Jurisdiction) with maximum coverage of Subject to statutory national investor protection fund limits and segregated trust priority (Retail clients of licensed securities and investment brokerage firms.). For client money and custody assets, supervised firms must comply with Financial Supervisory Commission (Taiwan) Client Money & Safe Custody Segregation Rules, performing daily reconciliation of segregated client trust bank accounts against client trading ledger balances. with client funds and securities must be held in bankruptcy-remote statutory trust accounts at licensed commercial banks or central securities depositories..
How does Financial Supervisory Commission (Taiwan) regulate digital assets, crypto exchanges (VASPs/CASPs), and stablecoins?
Financial Supervisory Commission (Taiwan)'s digital-asset regime is structured around Financial Supervisory Commission (Taiwan) Digital Asset / Tokenized Securities & VASP Regulatory Framework (Regulates security tokens, crypto derivatives, and licensed digital asset intermediaries in Global Jurisdiction.). Custody and AML/CFT compliance obligations require: FATF Recommendation 16 Travel Rule enforcement and institutional qualified custody standards.
How can I verify an institution's Financial Supervisory Commission (Taiwan) licence number and check our 32 recorded licence entries?
Our database currently tracks 32 licence records referencing Financial Supervisory Commission (Taiwan) (32 marked regulated or registered). To verify a counterparty at the primary source, open Financial Supervisory Commission (Taiwan)'s official public register (https://www.banking.gov.tw/), search by the exact reference number and legal entity name, and confirm that the firm's domain and permitted activities match its statutory authorisation.
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Statutory licensing classes, base capital rules, and investor protection summaries for Financial Supervisory Commission (Taiwan) (Global Jurisdiction) are maintained for institutional benchmarking and do not constitute legal advice. Always verify current rulebooks and active firm authorisations directly on Financial Supervisory Commission (Taiwan)’s official public register.