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Laws

Title:

Taiwan Stock Exchange Corporation Rules Governing Early Warnings for Overall Operational Risk of Securities Firms  CH

Announced Date: 1996.06.01
Amended Date: 2020.11.16 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change19. Articles 3 ~ 5 amended per 16 November 2020 Letter No. Taiwan-Securities-Intermediaries-1090021096 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 11 November 2020 Letter No. Financial-Supervisory-Securities-Firm-1090348221 of the Financial Supervisory Commission
Content Article In Change 18.Articles 3 and 4 amended per 5 September 2016 Letter No. Taiwan-Securities-Intermediaries-1050503562 of the Taiwan Stock Exchange Corporation; for implementation from 1 December 2016
Per 29 August 2016 Letter No. Financial-Supervisory-Securities-Firm-1050025542 of the Financial Supervisory Commission
Content Article In Change 17.Articles 3~6 amended per 15 August 2014 Letter No. Taiwan-Securities-Intermediaries-1030503665 of the Taiwan Stock Exchange Corporation; for implementation from 1 November 2014
Per 10 July 2014 Letter No. Financial-Supervisory-Securities-Firm-1030023042 of the Financial Supervisory Commission
16.Article 4 amended per 12 July 2013 Letter No. Taiwan-Stock-Trading-1020013511 of the Taiwan Stock Exchange Corporation; for implementation from 31 July 2013
Approved for recordation per 5 July 2013 Letter No. Financial-Supervisory-Securities-Firm-1020020529 of the Financial Supervisory Commission
15.Article 3 amended per 7 January 2013 Public Announcement No. Taiwan-Stock-Trading-1020200151 of the Taiwan Stock Exchange Corporation; for implementation from 1 April 2013
Approved for recordation per 22 December 2012 Letter No. Financial-Supervisory-Securities-Firm-1010055651 of the Financial Supervisory Commission
14.Articles 3, 4 and 6 amended per 9 July 2012 Public Announcement No. Taiwan-Stock-Trading-1010204656 of the Taiwan Stock Corporation; for implementation from the date of public announcement, with the exception of the amendments harmonizing with the IFRSs, which shall be enforced from fiscal 2013
Approved for adoption per 3 July 2012 Letter No. Financial-Supervisory-Securities-Firms-1010026295 of the Securities and Futures Bureau, Financial Supervisory Commission
13.Article 3 amended per 24 March 2011 Public Announcement No. Taiwan-Stock-Trading-1000008368 of the Taiwan Stock Exchange Corporation
Approved for recordation per 18 March 2011 Letter No. Financial-Supervisory-Securities-Firms-1000009416 of the Financial Supervisory Commission, Executive Yuan
12.Article 3 amended and promulgated per 12 June 2007 Public Announcement No. Taiwan-Stock-Trading-0960014392 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 6 June 2007 Letter No. Financial-Supervisory-Securities-II-0960029836 of the Financial Supervisory Commission, Executive Yuan
11.Articles 3, 4 and 6 amended and promulgated per 13 February 2006 Public Announcement No. Taiwan-Stock-Trading-0950002894 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 7 February 2006 Letter No. Financial-Supervisory-Securities-II-0950102642 of the Financial Supervisory Commission, Executive Yuan
10.Articles 5 and 6 amended and promulgated per 3 August 2004 Public Announcement No. Taiwan-Stock-Secretariat-0930019661 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved for recordation per 19 July 2004 Letter No. Financial-Supervisory-Securities-I-0930130654 of the Financial Supervisory Commission, Executive Yuan
9.Article 6 amended per 5 July 2002 Public Announcement No. 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
8.Paragraph 1, Article 3; Item 2, Subparagraph 1, Paragraph 4, Article 4; Subparagraph 2, Paragraph 1, Article 6 amended and promulgated per 3 September 2001 Public Announcement No. Taiwan-Stock-Trading-023724 of the Taiwan Stock Exchange Corporation; for implementation from 3 September 2001
Per 29 August 2001 Letter No. Taiwan-Finance-Securities-II-154130 of the Securities and Futures Commission, Ministry of Finance
7.Point 6 amended and promulgated, and Paragraph 5, Paragraph 2, Point 3; and Item 5, Subparagraph 2, Paragraph 4, Point 4 amended per 21 July 2000 Public Announcement No. Taiwan-Stock-Trading-021060 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 18 July 2000 Letter No. Taiwan-Finance-Securities-II-59014 of the Securities and Futures Commission, Ministry of Finance
6.Paragraphs 1 and 5, Point 4 amended and promulgated per 28 June 2000 Public Announcement No. Taiwan-Stock-Trading-016485-1 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 21 June 2000 Letter No. Taiwan-Finance-Securities-II-02042 of the Securities and Futures Commission, Ministry of Finance
5.Item 2, Paragraph 1, Point 6, and Paragraph 3, Article 6 amended and promulgated per 9 March 2000 Public Announcement No. Taiwan-Stock-Trading-003684-1 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 17 February 2000 Letter No. Taiwan-Finance-Securities-II-14422 of the Securities and Futures Commission, Ministry of Finance
4.Subparagraph 1, Paragraph 1, Point 4; Paragraph 1, Point 5; and Paragraph 1, Point 6 amended and promulgated per 3 June 1999 Letter No. Taiwan-Stock-Trading-16564 of the Taiwan Stock Exchange Corporation
3.Points 4~6 amended and promulgated per 19 May 1999 Public Announcement No. Taiwan-Stock-Trading-13819 of the Taiwan Stock Exchange Corporation
Approved for recordation per 12 May 1999 Letter No. Taiwan-Finance-Securities-II-37706 of the Securities and Futures Commission, Ministry of Finance
2.Points 3~6 amended and promulgated per 21 April 1998 Public Announcement No. Taiwan-Stock-Trading-09560 of the Taiwan Stock Exchange Corporation, which shall be enforced upon implementation of the Taiwan Futures Exchange Corporation Rules Governing Early Warnings for Operational Risk of Futures Commission Merchants and Clearing Members
Approved per 9 April 1998 Letter No. Taiwan-Finance-Securities-II-25770 of the Securities and Futures Commission, Ministry of Finance
1.Established and issued per 29 May 1996 Public Announcement No. Taiwan-Stock-Listing-08454 of the Taiwan Stock Exchange Corporation, for implementation from 1 June 1996
Approved for recordation per 15 May 1996 Letter No. Taiwan-Finance-Securities-II-22870 of the Securities and Exchange Commission, Ministry of Finance