Services
(1) Foreign Candidate Qualification Exam
The Foreign Candidate Qualification Exam of the SFI is as follows:
| Types of Exams | Written Exams | Computer-based Exams | Types of Question |
|---|---|---|---|
| Securities Specialist License Validation Exams for Foreign Examinees |
|
None | Multiple choice questions |
| Futures Specialist License Validation Exams for Foreign Examinees | None |
|
Multiple choice questions |
| Securities Investment Analyst License Validation Exam for Foreign Examinees |
|
None | Multiple choice questions |
| Senior Securities Specialist English Qualification Exam |
|
None | Multiple choice questions |
(2) Certification and Qualification Check
- Ⅰ. For personal background checks, please provide the names and contents of the items that need to be checked. In addition, the main party must sign the consent form agreeing to the background check and send the form via e-mail to the following address:
- hannah@sfi.org.tw
- Ⅱ. Service hotline：
- Tel: 886-2-2357-1222 Ext. 388
Update:2022/05/31
Introduction
- The Department of Investor Education was established to promote financial literacy education and advocate investor protection, and the public commendation of excellent individuals and companies in the securities and futures market.
- The Department promotes the Financial Literacy Program in coordination with the Financial Supervisory Commission, assists in the stable development of the securities and futures market, and regularly invites organizations related to securities and futures to convene education and training task forces for the planning of events and projects. The Department not only promotes financial literacy in metropolitan areas, but also in remote areas and offshore islands; it promotes investment and financial education to the general public, teachers, military personnel and public servants, students, the elderly, indigenous peoples, new immigrants, and women's organizations, among other groups regardless of age or ethnic background, as well as broadens public education via print and social media.
- Starting from 2006, under the directive of the competent authorities, the Department has been organizing the Golden Goblet Award, the highest honor for securities and futures professionals, to honor outstanding individuals and corporate teams in securities and futures as examples for emulation. The award is held biennially since the 7th edition, and has been held 16 times as of 2021.
Services:
- Planning and accepting external orders to hold various types of investor education activities, including physical lectures, workshops, investment knowledge quizzes, and multiple online educational projects such as producing online quiz contests for prizes, short films, comics, and e-books.
Update:2022/05/31
Introduction
- One of the SFI's founding objectives is “to promote academic and practical research in the domains of securities and futures to bring sound development to the financial markets”. Under the guidance of competent authorities, the SFI operates in accordance with government policies and market developments, actively proposing major projects or conducting researches commissioned by securities-related institutions. Through regular or occasional data collection and database establishment, we keep track of the developmental trends in international financial markets. We organize seminars and forums to gather opinions from diverse sources, which serve as reference for the establishment of policies, systems, and directions for promotion, all with the hope of strengthening capital market development in Taiwan and promptly aligning it with international standards.
- To respond to the rapid development of corporate governance in neighboring countries, to accelerate the promotion of corporate governance for TWSE and TPEx listed corporations, and to help corporations develop and increase the confidence of investors in the market, the Financial Supervisory Commission (FSC) published the 5-year “Corporate Governance Roadmap” (2013-2017) in December 2013. Since 2014, the SFI has held the Corporate Governance Evaluation for TWSE and TPEx listed corporations every year to replace the Information Transparency and Disclosure Ranking, taking a big step toward the promotion of corporate governance in Taiwan. In addition to corporate regulatory compliance, we also value corporate governance, which it can substantially improve corporate operations and enhance the international image of Taiwan in terms of corporate governance.
Services:
- I. Special Project and Commission Research
- We propose research projects based on the current status of capital market development, timely provide professional recommendations on markets and systems in accordance with current events, as well as accept commissions from securities and futures-related institutions to conduct special research projects. Our role as a bridge between industry, government, the academia, as well as a think tank for government policies contributes substantially to the sound development of the overall financial market.
- II. Promotion of Corporate Governance in Taiwan's Capital Market
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- From 2003 to 2014, commissioned by the Taiwan Stock Exchange (TWSE) and Taipei Exchange (TPEx) , the SFI conducted the Information Transparency and Disclosure Ranking for TWSE and TPEx listed companies to urge them to value and implement information disclosure and transparency , thus significantly improving immediacy and transparency of information disclosure by these companies.
- Since 2014, the TWSE and TPEx have organized the Corporate Governance Evaluation, urging TWSE and TPEx-listed enterprises to place higher emphasis on corporate governance according to the respective comparative results on the market as a whole, rewarding companies with excellent corporate governance and leading them toward benign competition, reinforcing corporate governance levels, further shaping the culture of corporations, and proactively improving corporate governance.
- We established the Independent Directors Registry(Talent) Database for use by publicly offered companies. The Database also serves as a reference for TWSE or TPEx listed companies in appointing directors or independent directors.
- We set up corporate governance webpages, issue the bi-monthly newsletter International Corporate Governance Development, and offer information regarding the latest trends in the corporate governance system.
- We have published books such as Corporate Governance - Theories and Practices, Introduction and Application of Enterprise Internal Control as well as the SFI Sustainability Report.
- III. System Recommendations, Research Opinions, Amendment Proposals and Data Compilation
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- We propose recommendations with foresight and international perspectives to facilitate the promotion and implementation of government policies, and act as a driving force to strengthen market reforms.
- We host seminars and forums to discuss and make recommendations on market reform key issues in coordination with government policies and market development. These events serve as a think tank platform for competent authorities, the industry, and the academia.
- We regularly update information regarding developments of laws, regulations and systems of major securities and futures markets around the world.
- We collect data regarding the latest developments of international capital markets to remain updated about supervisory systems in different countries or the promotion of newproducts, and actively provide references for competent authorities and securities-related institutions. We compile and organize latest information announced by competent authorities in the major markets and institutions about asset management, and publish Compilation of Information on International Securities and Futures Markets on the Asset Management Fund webpage monthly for public reference.
- IV. Quality Enhancement of Capital Market Researches and Relevant Information
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- The SFI published the first issue of Review of Securities and Futures Markets (RSFM) in January 1989. Since 1999, the journal has been continually listed in the Taiwan Social Sciences Citation Index (TSSCI), demonstrating its importance among the domestic securities and futures research field.
- In 1996, 2002, and 2003, the journal won the Outstanding Journal Awards (in the category of science & humanities) presented by the Ministry of Education and the National Science Council. In 2016 and 2017, the journal won the Most Influential Periodical (Humanities and Social Sciences) Award presented by the National Central Library. In 2019, the journal won 2nd place periodical (economics) for Knowledge Influence in the Most Influential Academic Resources in Taiwan and 4th place periodical for Knowledge Dissemination by the National Central Library. And in 2021 and 2022, the journal won 5th place in the Long-term Periodical (economics) Dissemination Awards of the Taiwan Academic Resource Influence Conference.
- The journal picks two outstanding papers each year and confers certificates as well as NT$50,000 to the winners as reward.
- We propose periodic and special research reports, and establish an information platform to provide comprehensive information services, and promote academic researches and Taiwan's capital market development.
- The SFI published the first issue of Review of Securities and Futures Markets (RSFM) on January 1989. Since 1999, the journal has been continually listed in the Taiwan Social Sciences Citation Index (TSSCI), demonstrating its importance among the domestic securities and futures research field.
- Starting from 1999, the SFI and securities-related departments have been co-organizing the biennial Best Securities and Futures Research Paper Award under the guidance of the FSC in order to integrate research resources of securities and futures-related departments, encourage an innovative atmosphere of research in the securities, futures and financial market developments, as well as nurture top professional talents and facilitate sound development of the capital market.
- The Law Source Retrieving System of Stock Exchange and Futures Trading (LSRS), in Chinese and English, became available in August 1998. It offers the most comprehensive information on the laws, regulations, and juridical analyses of the securities and futures market in Taiwan, as well as English translations of these, thereby serving as a crucial channel for the international understanding of related laws and regulations in Taiwan.
- The SFI published the first issue of Review of Securities and Futures Markets (RSFM) in January 1989. Since 1999, the journal has been continually listed in the Taiwan Social Sciences Citation Index (TSSCI), demonstrating its importance among the domestic securities and futures research field.
Update:2020/8/19