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Laws

Title:

Establishing Information Security Inspection Mechanisms for Securities Firms  CH

Announced Date: 2002.02.21
Amended Date: 2020.02.10 (Articles 9, 12 amended,English version coming soon)
Current English version amended on 2018.11.30 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change14. 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.