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Categories > Market Supervision > Regulation of Securities Firms

1.			Taiwan Stock Exchange Corporation Regulations Governing Brokerage Contracts of Securities Brokers CH
2.			Contract for the Usage of the Centralized Securities Exchange Market CH
3.			Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms CH
4.			Supplementary Provisions to Article 28-1, Paragraph 2 of the Operating Rules of the Taiwan Stock Exchange Corporation CH
5.			Taiwan Stock Exchange Corporation Rules Governing Targeted Examinations of and Guidance to Securities Firms CH
6.			Taiwan Stock Exchange Corporation Rules Governing Early Warnings for Overall Operational Risk of Securities Firms CH
7.			Taiwan Stock Exchange Corporation Rules Governing the Targeted Examination and Handling of Defaults on Settlement Obligations by Securities Firms CH
8.			Taiwan Stock Exchange Corporation Directions for the Calculation of Net Available Funds CH
9.			Taiwan Stock Exchange Corporation Procedures for Handling Default on Settlement Obligations by Securities Firms CH
10.			Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers CH
11.			Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers CH
12.			Taiwan Stock Exchange Corporation Guidelines Governing the Electronic Filing of Financial Statements by Securities Firms CH
13.			Guidelines for Handling Defects in Filing of Supervisory Information by Securities Firms CH
14.			Taiwan Stock Exchange Corporation Rules Governing the Electronic Filing of Capital Adequacy Ratio Financial Statement by Securities Firms CH
15.			Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading CH
16.			Taiwan Stock Exchange Corporation Rules for Suspension or Termination, and Application for Resumption, of Securities Firm Operations CH
17.			Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms CH
18.			Taiwan Stock Exchange Corporation Operational Guidelines for Follow-up, Assessment, and Guidance in Regard to Securities Firm Audit Deficiencies CH
19.			Establishing Information Security Inspection Mechanisms for Securities Firms CH
20.			Taiwan Stock Exchange Corporation Directions for the Use of Digital Signatures by Securities Firms CH
21.			Taiwan Stock Exchange Corporation Determination Standards and Handling Procedures for the Avoidance or Refusal of Examinations by Securities Firms CH
22.			Taiwan Stock Exchange Corporation Rules Governing Stabilization of Trades of Listed Securities CH
23.			Guidelines for Public Subscription and Private Placement of Securities CH
24.			Mandate Contract for Public Subscription and Allotment of Securities CH
25.			Audit Content and Disposition Standards for Securities Subscription Operations of Securities Firms CH
26.			Rules Governing the Particulars to be Recorded in the Contract for Recommendations by Securities Firms to Customers for Securities Trading CH
27.			Taiwan Stock Exchange Corporation Procedures for Handling Emergencies at Branch Units of Foreign Securities Firms CH
28.			Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients CH
29.			Operation Directions for the Advance Collection of Funds and Securities by Securities Brokers in Brokerage Trading CH
30.			Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts CH
31.			Directions for Internal Control of Securities Firms Using Modelling in Management Operations CH
32.			Directions for the Provision of Application Programming Interface (API) Service by Securities Firms to Investors CH
33.			Operation Directions for Inquiries of Customer Data by Employees of Securities Firms CH
34.			Directions for Securities Firms Engaging Futures Commission Merchants to Operate Securities Introducing Broker Business CH
35.			Standard Directions for the Content and Procedures of Assessment of Legal Compliance of Securities Firms CH
36.			Table of Mandatory Preservation Periods for Accounts, Statements, Vouchers, and Certificates of Securities Firms CH
37.			Taiwan Stock Exchange Corporation Review and Assessment Standards for Internal Control and Internal Audits of Applications by Securities Firms for Conducting Specific Business Operations CH
38.			Directions for Internal Control of Agency Services Operated by Securities Firms Engaged by Customers to Invest Their Securities Trading Balances CH
39.			Taiwan Stock Exchange Corporation Directions for the Sublease of Business Premises Leased and Rented by Idle Assets of a Securities Firm CH
40.			Directions for Preservation of Trading Data in Trading Through the Internet or Other Electronic Methods CH
41.			Securities Broker's Application for Direct Market Access Services CH
42.			Taiwan Stock Exchange Corporation (TWSE) Operation Directions for Direct Market Access by Securities Brokers CH
43.			Guidelines for Securities Firms to Allow Investors to Create Trading Conditions on Placing Orders CH
44.			Taiwan Stock Exchange Corporations Directions for Securities Brokers Preparing Trading Order Records Using the Internet or Other Electronic Means of Trading CH
45.			Taiwan Stock Exchange Corporation Securities Brokerage Trading Checkpoint Control Items Required for Trading Servers Used by Securities Firms for Trading Through the Internet or Other Electronic Methods CH
46.			Taiwan Stock Exchange Corporation Standards Governing Principal Identification and Management of Credit Line Categorization in the Processing by Securities Firms of Account Opening CH
47.			Taiwan Stock Exchange Corporation Operation Procedures for Appeals Filed by Securities Firms or Employees thereof in Disposition Cases CH
48.			Guidelines for the Work-From-Home Application by Securities Firms in Response to Severe Communicable Diseases CH
49.			Taiwan Stock Exchange Corporation Procedures for Accessing Working Paper of Securities Firm’s Financial Statements Audited and Certified by Certified Public Accountant CH
50.			Taiwan Stock Exchange Corporation Directions for the Installation by Securities Firms of Automatic Service Equipment Outside of Their Place of Business CH
51.			Taiwan Stock Exchange Corporation Regulations Governing Applications by Securities Firms for Resumption of Business after Suspension CH