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Laws

Title:

Taiwan Stock Exchange Corporation Rules Governing Targeted Examinations of and Guidance to Securities Firms  CH

Announced Date: 1989.05.13
Amended Date: 2014.11.04 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change7.Articles 1, 12, 13 amended per 4 November 2014 Letter No. Taiwan-Stock-Intermediaries-1030022578 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Approved per 28 October 2014 Letter No. Financial-Supervisory-Securities-Firms-1030036543 of the Financial Supervisory Commission
6.Articles 3, 4, 6, 7 amended and promulgated per 5 July 2002 Letter No. (91) Taiwan-Stock- Secretariat-016030 of the Taiwan Stock Exchange Corporation
Approved for recordation per 2 July 2002 Letter No. Taiwan-Finance-Securities-III-0910136744 of the Securities and Futures Commission, Ministry of Finance
5.Article 3, Paragraph 5 amended and promulgated per 11 December 2001 Letter No. (90) Taiwan-Stock-Trading-032879 of the Taiwan Stock Exchange Corporation
Approved for recordation per 7 December 2001 Letter No. (90) Taiwan-Finance-Securities-II-173929 of the Securities and Futures Commission, Ministry of Finance
4.Articles 4 to 7 amended and promulgated per 20 March 1999 Letter No. (88) Taiwan-Stock-Trading-07570 of the Taiwan Stock Exchange Corporation, for implementation from the date of announcement
Approved for recordation per 19 March 1999 Letter No. (88) Taiwan-Finance-Securities-II-26370 of the Securities and Futures Commission, Ministry of Finance
3.Article 3 amended and promulgated per 7 July 1998 Letter No. (87) Taiwan-Stock-Trading-21511 of the Taiwan Stock Exchange Corporation, for implementation from 1 January 1999.
Approved for recordation per 30 June 1998 Letter No. (87) Taiwan-Finance-Securities-II-56836 of the Securities and Futures Commission, Ministry of Finance
2.Articles 3, 4, 5, 7, 8, 9, 10, 12 amended and promulgated per 27 February 1996 Letter No. (85) Taiwan-Stock-Trading-02708 of the Taiwan Stock Exchange Corporation, for implementation from 1 March 1996.
Approved for recordation per 5 January 1996 Letter No. (85) Taiwan-Finance-Securities-II-61864 of the Securities Commission, Ministry of Finance
1.Adopted and promulgated per 13 May 1989 Letter No. (78) Taiwan-Stock-Trading-2604 of the Taiwan Stock Exchange Corporation
Approved for recordation per 18 April 1989 Letter No. (78) Taiwan-Finance-Securities-II-5224 of the Securities Commission, Ministry of Finance