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Laws

Title:

Establishing Information Security Inspection Mechanisms for Securities Firms  CH

Announced Date: 2002.02.21
Amended Date: 2024.05.15 (Articles 1, 4, 7, 10, 12 amended,English version coming soon)
Current English version amended on 2022.12.28 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change21. Points 2, 3, and 7, and appendix of Point 2, amended per 28 December 2022 Letter No. Taiwan-Stock-Intermediaries-1110025093 of the Taiwan Stock Exchange Corporation; Point 3 implemented from January 2022 and Points 7(1)f(b) and 7(2)b(e) from the end of June 2023
Approved for recordation per 22 December 2022 Letter No. Financial-Supervisory-Securities-Firms-1110361945 of the Financial Supervisory Commission
Content Article In Change 20. Point 12 amended per 6 October 2022 Letter No. Taiwan-Stock-Intermediaries-1110019872 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved for recordation per 4 October 2022 Letter No. Financial-Supervisory-Securities-Firms-1110355012 of the Financial Supervisory Commission
Content Article In Change 19. Points 2, and 7 ~ 9 amended per 6 September 2022 Letter No. Taiwan-Stock-Intermediaries-1110016877 of the Taiwan Stock Exchange Corporation; for immediate implementation except Point 7(1)j, Point 7(1)k, and Point 8(3)f, which will take effect as of 28 February 2023, 30 September 2022, and 30 November 2022 respectively
Approved for recordation per 23 August 2022 Letter No. Financial-Supervisory-Securities-Firms-1110349736 of the Financial Supervisory Commission
Content Article In Change 18. Points 3, 7, and 10 amended per 18 November 2021 Letter No. Taiwan-Stock-Intermediaries-1100023116 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 12 November 2021 Letter No. Financial-Supervisory-Securities-Firms-1100370656 of the Financial Supervisory Commission
Content Article In Change 17. Points 7, 8, and 10 amended and Point 14 added per 20 July 2021 Letter No. Taiwan-Stock-Intermediaries-1100502162 of the Taiwan Stock Exchange Corporation; for implementation from 1 August 2021.
Approved for recordation per 11 June 2021 Letter No. Financial-Supervisory-Securities-Firms-1100335783 of the Financial Supervisory Commission
Content Article In Change 16. All 13 points amended per 17 December 2020 Letter No. Taiwan-Stock-Intermediaries-1090023040 of the Taiwan Stock Exchange Corporation; for implementation from 1 February 2021.
Approved for recordation per 8 December 2020 Letter No. Financial-Supervisory-Securities-Firms-1090371427 of the Financial Supervisory Commission
Content Article In Change 15. Points 9 and 12 amended per 10 February 2020 Letter No. Taiwan-Stock-Intermediaries-1090500268 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 3 February 2020 Letter No. Financial-Supervisory-Securities-Firms-1080339154 of the Financial Supervisory Commission.
Content Article In Change 14. Points 2 and 3 amended, and Point 12 added, thus original Point 12 changing to Point 13, per 30 November 2018 Letter No. Taiwan-Stock-Intermediaries-1070023227 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 26 November 2018 Letter No. Financial-Supervisory-Securities-Firms-1070339223 of the Financial Supervisory Commission.
Content Article In Change 13. Points 3, 7 and 8 amended per 8 February 2018 Letter No. Taiwan-Stock-Intermediaries-1070002820 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 7 February 2018 Letter No. Financial-Supervisory-Securities-Firms-1070303592 and 26 January 2018 Letter No. Financial-Supervisory-Securities-Firms-1060048460 of the Financial Supervisory Commission.
Content Article In Change 12. Points 7 and 10 amended per 24 March 2017 Letter No. Taiwan-Stock-Intermediaries-1060004997 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 23 March 2017 Letter No. Financial-Supervisory-Securities-Firms-1060004710 of the Financial Supervisory Commission.
Content Article In Change 11. Points 7, 8, 10 amended per 16 May 2016 Letter No. Taiwan-Stock-Intermediaries-1050008762 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Approved for recordation per 13 May 2016 Letter No. Financial-Supervisory-Securities-Firms-1050014652 of the Financial Supervisory Commission.
Content Article In Change 10. Points 2, 7, 8, 11 amended per 9 May 2013 Letter No. Taiwan-Stock-Audit-1020008523 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 7 May 2013 Letter No. Financial-Supervisory-Securities-Firms-1020014446 of the Financial Supervisory Commission.
9. Points 6-8 amended per 23 July 2012 Letter No. Taiwan-Stock-Audit-1010016735 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 20 July 2012 Letter No. Financial-Supervisory-Securities-Firms-1010030847 of the Financial Supervisory Commission.
8. Point 8 amended per 2 December 2011 Letter No. Taiwan-Stock-Audit-1000037789 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-1000058143 of the Financial Supervisory Commission, Executive Yuan.
7. Points 6, 8 and 9 amended per 8 April 2011 Letter No. Taiwan-Stock-Audit-1000010578 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 7 April 2011 Letter No. Financial-Supervisory-Securities-Firms-1000012220 of the Financial Supervisory Commission, Executive Yuan.
6. Full text of 12 points amended per 16 February 2007 Letter No. Taiwan-Stock-Audit-0960003923 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 8 February 2007 Letter No. Financial-Supervisory-Securities-II-0960002026 of the Financial Supervisory Commission, Executive Yuan.
5. Full text of 12 points amended per 26 May 2006 Letter No. Taiwan-Stock-Audit-0950300270 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement.
Approved for recordation per 29 March 2006 Letter No. Financial-Supervisory-Securities-II-0950109289 of the Financial Supervisory Commission, Executive Yuan.
4. Full text of seven points amended per 4 March 2005 Letter No. Taiwan-Stock-Audit-0940300134 of the Taiwan Stock Exchange Corporation; for implementation from 1 May 2005.
Approved for recordation per 27 January 2005 Letter No. Securities-Futures-II-0940102768 of the Securities and Futures Bureau, Financial Supervisory Commission, Executive Yuan.
3. Points 6 and 7 amended per 25 February 2004 Letter No. Taiwan-Stock-Audit-0930300070 of the Taiwan Stock Exchange Corporation.
Approved for recordation per 7 January 2004 Letter No. Taiwan-Financial-Securities-II-0920162279 and 27 January 2004 Letter No. Taiwan-Financial-Securities-Information-0920159865 of the Securities and Futures Commission, Ministry of Finance.
2. Full text of seven points amended per 31 March 2003 Letter No. Taiwan-Stock-Audit-0920300133 of the Taiwan Stock Exchange Corporation; for implementation from 1 May 2003.
Approved for recordation per 19 February 2003 Letter No. Taiwan-Financial-Securities-II-0920103074 of the Securities and Futures Commission, Ministry of Finance.
1. Full text of six points adopted per 21 February 2002 Letter No. 91-Taiwan-Stock-Audit-003551 of the Taiwan Stock Exchange Corporation; for implementation from 1 April 2002.
Approved for recordation per 8 February 2002 Letter No. 91-Taiwan-Financial-Securities-II-103334 of the Securities and Futures Commission, Ministry of Finance.