Article NO. Content

Title:

Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms 

Amended Date: 2002.07.05 
Categories: Market Supervision > Regulation of Securities Firms
Article 7     Follow-up, assessment, and guidance shall be undertaken when a general audit of a securities firm leads to discovery of a deficiency in its finances or operations or when its internal auditing procedures are rated substandard. Rules governing follow-up, assessment, and guidance shall be separately adopted.

Interpretation: