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Laws

Title:

Taiwan Stock Exchange Corporation Regulations Governing Brokerage Contracts of Securities Brokers  CH

Announced Date: 1987.06.20
Amended Date: 2019.07.11 
Categories: Basic Laws and Regulations
Market Supervision > Regulation of Securities Firms
Content Article In Change70. Article 3 amended per 11 July 2019 Letter No. Taiwan-Stock-Intermediaries-1080012032 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 8 July 2019 Letter No. Financial-Supervisory-Securities-Firms-1080318839 of the Financial Supervisory Commission
Content Article In Change 69. Articles 4 and 7 amended per 24 December 2018 Letter No. Taiwan-Stock-Trading- 1070024227 of the Taiwan Stock Exchange Corporation; for implementation from 23 March 2020
Approved for recordation per 10 December 2018 Letter No. Financial-Supervisory-Securities-Firms- 1070119296 of the Financial Supervisory Commission
Content Article In Change 68. Article 3-1 added per 18 January 2018 Letter No. Taiwan-Stock-Intermediaries-1070001307 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 18 January 2018 Letter No. Financial-Supervisory-Securities-Firms-1060050187 of the Financial Supervisory Commission
Content Article In Change 67. Article 3 amended per 7 August 2017 Letter No. Taiwan-Stock-Intermediaries-1060502926 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 2 August 2017 Letter No. Financial-Supervisory-Securities-Firms-1060028331 of the Financial Supervisory Commission
Content Article In Change 66. Article 4 amended per 8 May 2017 Letter No. Taiwan-Stock-Intermediaries-1060007791 of the Taiwan Stock Exchange Corporation; for implementation from 10 July 2017
Approved per 4 May 2017 Letter No. Securities-Futures-(Trading)-1060012247 of the Securities and Futures Bureau, Financial Supervisory Commission
Content Article In Change 65. Article 3 amended per 26 September 2016 Letter No. Taiwan-Stock-Intermediaries-1050018808 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 22 September 2016 Letter No. Financial-Supervisory-Securities-Firms-1050035160 of the Financial Supervisory Commission
Content Article In Change 64. Article 3 amended per 13 April 2016 Letter No. Taiwan-Stock-Intermediaries-1050006231 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 11 April 2016 Letter No. Financial-Supervisory-Securities-Firms-1050009295 of the Financial Supervisory Commission
Content Article In Change 63. Article 3 amended per 17 July 2015 Letter No. Taiwan-Stock-Intermediaries-1040014213 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Approved per 15 July 2015 Letter No. Financial-Supervisory-Securities-Firms-1040022609 of the Financial Supervisory Commission
62. Article 3 amended per 23 June 2015 Letter No. Taiwan-Stock-Intermediaries-1040502321 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 12 June 2015 Letter No. Financial-Supervisory-Securities-Firms-1040016339 of the Financial Supervisory Commission
61. Article 17 amended per 4 June 2015 Letter No. Taiwan-Stock-Intermediaries-1040502091 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Approved per 28 May 2015 Letter No. Financial-Supervisory-Securities-Firms-1040013149 of the Financial Supervisory Commission
60. Articles 3 and 17 amended and Articles 14, 22 and 23 deleted per 27 January 2015 Letter No. Taiwan-Stock-Intermediaries-1040001441 of the Taiwan Stock Exchange Corporation; for implementation from the date of promulgation
Per 22 January 2015 Letter No. Financial-Supervisory-Securities-Firms-1030053896 of the Financial Supervisory Commission
Content Article In Change 59. Articles 2, 3, and 18 amended per 4 November 2014 Letter No. Taiwan-Stock-Intermediaries-1030022578 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Per 28 October 2014 Letter No. Financial-Supervisory-Securities-Firms-1030036543 of the Financial Supervisory Commission
Content Article In Change 58. Article 3 amended per 3 September 2014 Letter No. Taiwan-Stock-Intermediaries-1030018049 of the Taiwan Stock Exchange Corporation; for immediate implementation
  Per 1 September 2014 Letter No. Financial-Supervisory-Securities-Firms-1030029193 of the Financial Supervisory Commission
Content Article In Change 57. Articles 2, 3, and 19 amended per 29 August 2014 Letter No. Taiwan-Stock-Trading-1030016879 of the Taiwan Stock Exchange Corporation; for implementation from 29 September 2014
  Per 15 August 2014 Letter No. Financial-Supervisory-Securities-Firms-1030021872 of the Financial Supervisory Commission
Content Article In Change 56. Article 2 amended per 16 June 2014 Letter No. Taiwan-Stock-Trading-1030011363 of the Taiwan Stock Exchange Corporation; for implementation from 30 June 2014
  Per 11 June 2014 Letter No. Financial-Supervisory-Securities-Trading-1030018402 of the Financial Supervisory Commission
Content Article In Change 55. Article 3 amended per 24 March 2014 Letter Taiwan-Stock-Intermediaries-1030005354 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 21 March 2014 Letter No. Financial-Supervisory-Securities-Firms-1030003322 of the Financial Supervisory Commission
Content Article In Change 54. Article 2 amended per 31 December 2013 Letter No. Taiwan-Stock-Trading-1020027341 of the Taiwan Stock Exchange Corporation; for implementation from 6 January 2014
Per 30 December 2013 Letter No. Financial-Supervisory-Securities-Trading-1020053342 of the Financial Supervisory Commission
Content Article In Change 53. Article 3 amended per 5 December 2011 Public Announcement No. Taiwan-Stock-Trading-1000037855 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved for recordation per 30 November 2011 Letter No. Financial-Supervisory-Securities-Firms-1000055212 of the Financial Supervisory Commission, Executive Yuan
Article 3 amended per 5 December 2011 Public Announcement No. Taiwan-Stock-Trading-1000037717 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved for recordation per 29 November 2011 Letter No. Financial-Supervisory-Securities-Firms-1000058581 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 52. Article 15 amended per 26 October 2011 Public Announcement No. Taiwan-Stock-Listing-1000034205 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved for recordation per 21 October 2011 Letter No. Financial-Supervisory-Securities-Firms-1000048228 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 51. Article 19 amended per 24 March 2011 Public Announcement No. Taiwan-Stock-Trading-1000008368 of the Taiwan Stock Exchange Corporation
Approved and recorded per 18 March 2011 Letter No. Financial-Supervisory-Securities-Firms-1000009416 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 50. Articles 2 and 3 amended per 14 December 2010 Public Announcement No. Taiwan-Stock-Trading-0990037579 of the Taiwan Stock Exchange Corporation
Approved for recordation per 10 Dec 2010 Letter No. Financial-Supervisory-Securities-Firms-0990060683 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 49. Article 4 amended 14 May 2010 per Public Announcement No. Taiwan-Stock-Trading-0990012329 of the Taiwan Stock Exchange Corporation, for implementation from the date of announcement
Acknowledged 10 May 2010 per Letter No. Financial-Supervisory-Securities-Firms-0990023207 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 48. Article 2 amended 28 April 2010 per Public Announcement No. Taiwan-Stock-Trading-0990009571 of the Taiwan Stock Exchange Corporation, for implementation from the date of announcement
Acknowledged 13 April 2010 per Letter No. Financial-Supervisory-Securities-Firms-0990013965 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 47. Article 4 amended 16 April 2010 per Public Announcement No. Taiwan-Stock-Trading-0990202207 of the Taiwan Stock Exchange Corporation, for implementation from date of announcement
Per 6 February 2010 Letter No. Financial-Supervisory-Securities-Firms-0990006152 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 46. Article 4 amended 9 December 2009 per Public Announcement No. Taiwan-Stock-Trading-0980031173 of the Taiwan Stock Exchange Corporation, for implementation from date of announcement
Per 4 December 2009 Letter No. Financial-Supervisory-Securities-Firms-0980060780 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 45. Article 3 amended 22 October 2009 per Public Announcement No. Taiwan-Stock-Trading-0980206819 of the Taiwan Stock Exchange Corporation
Per 14 October 2009 Letter No. Financial-Supervisory-Securities-Firms-0980052510 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 44. Article 4 amended 23 September 2009 per Public Announcement No. Taiwan-Stock-Trading-0980206236 of the Taiwan Stock Exchange Corporation; for implementation from date of announcement
Per 3 September 2009 Letter No. Financial-Supervisory-Securities-Firms-0980040434 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 43. Article 2 amended per 17 September 2009 Public Announcement No. Taiwan-Stock-Trading-0980206113 of the Taiwan Stock Exchange Corporation; for implementation from date of announcement
Per 31 August 2009 Letter No. Financial-Supervisory-Securities-Trading-0980041001 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 42. Article 19 amended per 20 August 2009 Public Announcement No. Taiwan-Stock-Trading-0980020198 of the Taiwan Stock Exchange Corporation.
Articles 2 and 25 amended per 20 August 2009 Public Announcement No. Taiwan-Stock-Trading-0980205164 of the Taiwan Stock Exchange Corporation, for implementation from date of announcement, except Article 2, for implementation from 23 November 2009.
Per 19 August 2009 Letter No. Financial-Supervisory-Securities-SITC-0980031365 of the Financial Supervisory Commission, Executive Yuan
Per 3 August 2009 Letter No. Financial-Supervisory-Securities-Corporate-0980033800 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 41. Articles 12 and 19 amended per 12 June 2009 Public Announcement No. Taiwan-Stock-Trading-0980012651 of the Taiwan Stock Exchange Corporation; for implementation from date of announcement
Per 11 June 2009 per Letter No. Financial-Supervisory-Securities-Firms-0980029187 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 40. Article 19 amended per 11 May 2009 Public Announcement No. Taiwan-Stock-Trading-0980009646 of the Taiwan Stock Exchange Corporation; for implementation from the date of announcement
Per 7 May 2009 Letter No. Financial-Supervisory-Securities-II-0980016835 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 39. Article 4 amended per 5 January 2009 Public Announcement No. Taiwan-Stock-Trading-0970036879 of the Taiwan Stock Exchange Corporation; for implementation from date of announcement
Acknowledged per 24 December 2008 Letter No. Financial-Supervisory-Securities-II-0970061337 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 38. Article 12 amended 3 September 2008 per Public Announcement No. Taiwan-Stock-Clearing-0970026044 of the Taiwan Stock Exchange Corporation; scheduled for on-line implementation on the first trading day after the 2009 Lunar New Year, with the actual implementation date to be announced separately in coordination with computer system operations modifications
Letter No. Financial-Supervisory-Securities-III-0970042725 of the Financial Supervisory Commission, Executive Yuan; dated 28 August 2008
Content Article In Change 37. Article 13 amended 23 June 2008 per Public Announcement No. Taiwan-Stock-Trading-0970203003 of the Taiwan Stock Exchange Corporation; for immediate implementation
Letter No. Financial-Supervisory-Securities-II-0970012931 of the Financial Supervisory Commission, Executive Yuan; dated 11 April 2008
Content Article In Change 36. Article 3 amended and issued per 7 April 2008 Public Announcement No. Taiwan-Stock-Trading-0970007684 of the Taiwan Stock Exchange Corporation; for immediate implementation
Letter No. Financial-Supervisory-Securities-II-0970006387 of the Financial Supervisory Commission, Executive Yuan; dated 26 March 2008
Content Article In Change 35. Articles 2 to 4 amended and issued per 18 October 2007 Public Announcement No. Taiwan-Stock-Trading-0960030946 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Letter No. Financial-Supervisory-Securities-II-0960049983 of the Financial Supervisory Commission, Executive Yuan; dated 16 October 2007
Content Article In Change 34. Article 7 amended and issued per 17 January 2007 Public Announcement No. Taiwan-Stock-Trading-0960001184 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Approved and/or recorded per 11 January 2007 Letter No. Financial-Supervisory-Securities-II-0950162016 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 33. Article 4 amended and issued 29 May 2006 per Public Announcement No. Taiwan-Stock-Trading-0950010646 of the Taiwan Stock Exchange Corporation; for implementation from 1 June 2006
Approved for recordation 18 May 2006 per Letter No. Financial-Supervisory-Securities-II-0950111250 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 32. Article 2 amended and issued 1 August 2005 per Public Announcement No. Taiwan-Stock-Trading-0940021855 of the Taiwan Stock Exchange Corporation
Approved for recordation 29 July 2005 per Letter No. Finance-Supervisory- Securities-II-0940131539 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 31. Article 19 amended and issued 13 May 2005 per Public Announcement No. Taiwan-Stock-Trading-0940012570 of the Taiwan Stock Exchange Corporation, for implementation from date of announcement
Approved for recordation 10 March 2005 per Letter No. Finance-Supervisory- Securities-II-0940115153 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 30. Articles 12 and 19 amended and issued 3 May 2005 per Public Announcement No. Taiwan-Stock-Trading-0940011468 of the Taiwan Stock Exchange Corporation; for implementation from 4 May 2005
Approved for recordation 25 March 2005 per Letter No. Finance-Supervisory- Securities-II-0940108166, and 3 May 2005 per Letter No. Finance-Supervisory- Securities-II-0940115776, of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 29. Article 15 amended and promulgated 9 July 2004 per Public Announcement No. Taiwan-Stock-Trading-0930016260 of the Taiwan Stock Exchange Corporation; for implementation from date of promulgation
Content Article In Change 28. Article 3 amended and promulgated 13 May 2004 per Public Announcement No. Taiwan-Stock-Trading-0930009447 of the Taiwan Stock Exchange Corporation; amendments effective from 2 August 2004
Content Article In Change 27. Amendments to Article 4 promulgated on 27 October 2003 per Public Announcement No. Taiwan-Stock-Trading-0920027125 of the Taiwan Stock Exchange Corporation; amendments effective from date of promulgation
Content Article In Change 26. Amendments to Articles 3, 7, and 12 and new addition of Article 2-1 promulgated on 01 October 2003 per Public Announcement No. Taiwan-Stock-Trading-0920201518 of the Taiwan Stock Exchange Corporation; amendments effective from date of promulgation
Content Article In Change 25. Amendment to Article 7 promulgated on 15 August 2003 per Public Announcement No. Taiwan-Stock-Trading-0920020228 of the Taiwan Stock Exchange Corporation; amendments implemented from date of promulgation
Amendment approved on 11 August 2003 per Letter No. Taiwan-Finance-Securities-(II)-0920003243 of the Ministry of Finance Securities and Exchange Commission
Content Article In Change 24. Amendment approved on 25 July 2003 by the Ministry of Finance Securities and Exchange Commission per letter Ref No. (91) Taiwan-Finance-Securities-(II)-0920128335
Amendments to Article19 promulgated on 1 August 2003 per Public Announcement No. Taiwan-Stock-Trading-0920018475 of the Taiwan Stock Exchange Corporation; amendment implemented from date of promulgation
23. Article 3 amended and promulgated on 19 September 2002 by the Taiwan Stock Exchange Corporation per letter Ref No. (91) Taiwan-Finance-Exchange 023784; amendment in force from date of promulgation
22. Articles 2, 3, and 8 amended per Public Announcement No. (91) Taiwan-Stock-Secretariat-016030 of the Taiwan Stock Exchange Corporation
Approved and recorded per 2 July 2002 Letter No. Taiwan-Finance-Securities-III-0910136744 of the Securities and Futures Commission, Ministry of Finance
21. Article 4 amended and promulgated on 19 June 2002 by the Taiwan Stock Exchange Corporation per letter Ref No. (91) Taiwan-Finance-Exchange 200871; amendment in force from date of promulgation
20. Article 2 amended and promulgated on 31 May 2002 by the Taiwan Stock Exchange Corporation per letter Ref No. (91) Taiwan-Securities-Exchange 011986;amendment in force from 3 June 2002
19. Article 2 amended and promulgated on 27 February 2002 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (91) Taiwan-Securities-Exchange 200283; amendment in force from 15 March 2002
18. Article 3 amended and promulgated on 15 January 2001 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (90) Taiwan-Securities-Exchange 001015; amendments in force from date of promulgation
17. Articles 2, 3, 19 amended and promulgated on 8 January 2001 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 037578; amendments in force from 1 January 2001
16. Articles 2, 3, and 4 amended and promulgated on 24 November 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 034146; amendments in force from date of promulgation
15. Article 12 amended and promulgated on 20 November 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 033650; amendments in force from 1 January 2000
14. Article 11 amended and promulgated on 2 September 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 025115; amendments in force from date of promulgation
13. Article 19 amended and promulgated on 30 August 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 024990; amendments in force from 4 September 2000
12. Articles 3, 4, and 7 amended and promulgated on 11 August 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (84) Taiwan-Securities-Exchange 201030
11. Article 16 amended and promulgated on 7 June 2000 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (89) Taiwan-Securities-Exchange 013503; amendments in force from 1 July 2000
10. Article 2, paragraph 1 amended and promulgated on 11 March 1999 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (88) Taiwan-Securities-Exchange 06858
9. Article 4, paragraph 2 amended and promulgated on 26 January 1999 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (88) Taiwan-Securities-Exchange 00848
8. Article 3, paragraph 4 amended and promulgated on 11 January 1999 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (88) Taiwan-Securities-Exchange 00371
7. Article 4 amended and promulgated on 6 November 1997 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (86) Taiwan-Securities-Exchange 33308
6. Article 3 amended and promulgated on 13 April 1996 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (85) Taiwan-Securities-Exchange 05194
5. Article 3 amended and promulgated on 3 March 1996 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (85) Taiwan-Securities-Exchange 03499
4. Article 21 amended and promulgated on 7 July 1995 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (84) Taiwan-Securities-Exchange 15903
3. Articles 3, 13 amended and promulgated on 24 January 1995 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (84) Taiwan-Securities-Exchange 01338; amendments in force from 4 February 1995
2. Article 4 amended and promulgated on 2 December 1994 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (82) Taiwan-Securities-Exchange 20893
1. Adopted and promulgated on 20 June 1987 by the Taiwan Stock Exchange Corporation per Letter Ref. No. (76) Taiwan-Securities-Exchange 1195