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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 3     A securities firm shall not do any of the following when recommending trades in securities to customers:
  1. Cite any information that contains any untruth, falsehood, concealment, or is otherwise sufficient to cause mistaken confidence on the part of others.
  2. Guarantee specific outcomes on recommended securities.
  3. Fail to clearly inform or indicate that the information provided is a forecast.
  4. Fail to base recommendations on research reports
  5. Recommend customers to trade managed stocks or securities where certain restrictions have been imposed by TPEx.
  6. Use results of past recommendations in promoting its recommendation business.
  7. Use non-public information obtained through its own trading or underwriting.