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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 7     In recommending trade in securities to customers, a securities firm shall, after having the research report signed by the responsible person of the securities firm, have the recommendations thereunder made by an associated person who handles consigned securities trading business.
    The approving signatory, recommending person, and handling process shall be regulated under the Rules Establishing Standards for the Internal Control Systems of Securities Firms.