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Taiwan Stock Exchange Corporation Standards for Determining Whether User Applicants or Data Subscribers Are Evading or Refusing Inspection Visits, and Rules Governing Emergency Response Measures  CH

Amended Date: 2002.07.05 
Article 1     According to Paragraph 1 of Article 18, Paragraph 3 of Article 19, Article 23 and Paragraph 2 of Article 27 of the TWSE Regulations Governing the Use of Trading Information, no user applicant or data user may evade or refuse inspection visits. These Rules are established to determine apportionment of liabilities and the procedures for the TWSE's inspectors to follow when performing inspections.
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Article 2     The TWSE may send its representatives to an user applicant's head office and equipment room to inspect the finance, business, account books and documentation relating to the use of the TWSE trading information or visit data users on a business day (9 AM to 5 PM, Monday to Friday). If necessary, the inspection may continue until after the close of a business day.
Article 3     User applicants and data users will be deemed to evade or refuse inspections in any of the following circumstances:
  1. User applicants refuse to accept the inspection letter issued by the TWSE without good cause;
  2. The head office of a user applicant fails to cooperate with the TWSE's inspectors by providing written information on the finance, business, account books or documentation relating to the use of the TWSE trading information;
  3. Inspectors are unable to enter the equipment room according to the inspection plan after having contacted the responsible person of the user applicant's equipment room;
  4. The user applicant's equipment room is unwilling or fails to cooperate with the inspection by disconnecting the modem experiencing a problematic connection;
  5. The user applicant's equipment room refuses or fails to provide supporting documents or give any explanations in writing within the specified time in regard to irregularities discovered during the inspection visit;
  6. No one answers the door or the premises of the user applicant are no longer occupied at the time of inspection visit, and the user applicant is unable to provide an explanation on its use; and
  7. The data user refuses an inspection visit whereupon the user applicant fails to temporarily discontinue the connection to support the inspection.
Article 4     If a user applicant is involved in any of the above circumstances and continues to be uncooperative after the TWSE has performed further inspections, ordered it to provide an explanation or account books or documentation of finance or business within a prescribed time limit, the user applicant's use of any trading information will be temporarily suspended for three to seven business days in accordance with Article 36 of the TWSE Regulations Governing the Use of Trading Information.
Article 5     If a data user is involved in any of the circumstances under Article 3 above, the user applicant shall be requested to stop transmitting the TWSE trading information to the data user, in accordance with Article 37 of the TWSE Regulations Governing the Use of Trading Information.
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Article 6     Issues not addressed by these Rules are governed by the applicable laws and regulations and the TWSE Agreement on Supply and Use of Trading Information.
Article 7     These Rules shall take effect after having been submitted to and approved by the competent authority.