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Article NO. Content


Taipei Exchange Rules Governing Securities Firms Recommending Trades in Securities to Customers  CH

Amended Date: 2017.12.21 (Articles 5 amended,English version coming soon)
Current English version amended on 2010.12.22 
Article 11     When recommending a trade in securities to a customer, a securities firm shall retain a record, and shall keep the record at its place of business.
    A securities firm shall retain records referred to in the previous paragraph for no less than two months; provided that where there is any dispute, it shall retain them until the dispute is eliminated.