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Laws

Title:

Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers  CH

Announced Date: 1911.00.00
Amended Date: 2019.04.16 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change29. Point 5 added and the original Points 5 ~ 7 renumbered as Points 6 ~ 8 per 16 April 2019 Letter No. Taiwan-Stock-Intermediaries-1080005808 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 11 April 2019 Letter No. Financial-Supervisory-Securities-Firms-1080307134 of the Financial Supervisory Commission
Content Article In Change 28. Point 6 added and the original Point 6 adjusted as Point 7 per 5 July 2017 Letter No. Taiwan-Stock-Intermediaries-1060012113 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 3 July 2017 Letter No. Financial-Supervisory-Securities-Firms-1060024616 of the Financial Supervisory Commission
Content Article In Change 27. Points 1 to 6 amended per 4 January 2017 Letter No. Taiwan-Stock-Intermediaries-1060500047 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 30 December 2016 Letter No. Financial-Supervisory-Securities-Firms-1050039067 of the Financial Supervisory Commission
Content Article In Change 26. Point 1 amended per 28 March 2016 Letter No. Taiwan-Stock-Intermediaries-1050005275 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 25 March 2016 Letter No. Financial-Supervisory-Securities-Firms-1050008165 of the Financial Supervisory Commission
25. Point 1 amended per 7 September 2015 Letter No. Taiwan-Stock-Intermediaries-1040503574 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 26 May 2015 Letter No. Financial-Supervisory-Securities-Firms-1040014834 of the Financial Supervisory Commission
24. Point 1 amended per 22 January 2015 Letter No. Taiwan-Stock-Intermediaries-1040000897 of the Taiwan Stock Exchange Corporation; for implementation from the date of promulgation
Approved per 14 January 2015 Letter No. Financial-Supervisory-Securities-Firms-1030053379 of the Financial Supervisory Commission
Content Article In Change 23. Point 1 amended per 3 September 2014 Letter No. Taiwan-Stock-Intermediaries-1030018049 of the Taiwan Stock Exchange Corporation; for implementation from 1 April 2015
Per 1 September 2014 Letter No. Financial-Supervisory-Securities-Firms-1030029193 of the Financial Supervisory Commission
Content Article In Change 22. Points 1 and 2 amended per 29 April 2014 Letter No. Taiwan-Stock-Trading-1030202885 of the Taiwan Stock Exchange Corporation; for implementation from 26 May 2014
Per 28 March 2014 Letter No. Financial-Supervisory-Securities-Firms-1030007752 of the Financial Supervisory Commission
Content Article In Change 21. Name and full text of 7 points amended and issued per 10 June 2013 Public Announcement No. Taiwan-Stock-Trading-10202038431 of the Taiwan Stock Exchange Corporation; for implementation from the date of announcement (Original name: Taiwan Stock Exchange Corporation Standards Governing Securities Firm Sites and Facilities)
Per 9 April 2013 Letter No. Financial-Supervisory-Securities-Firms-1020004540 of the Financial Supervisory Commission
Content Article In Change 20. Point 1 amended and issued per 3 March 2012 Public Announcement No. Taiwan-Stock-Trading-1010201255 of the Taiwan Stock Exchange Corporation; for implementation from the date of announcement
Per 24 February 2012 Letter No. Financial-Supervisory-Securities-Firms-1000064121 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 19. Points 1 and 3 amended and issued per 9 September 2011 Public Announcement No. Taiwan-Stock-Trading-1000206094 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 4 May 2011 Letter No. Financial-Supervisory-Securities-Firms-1000015373 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 18. Point 1 amended per 11 December 2009 Public Announcement No. Taiwan-Stock-Trading-0980208173 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Per 16 November 2009 Letter No. Financial-Supervisory-Securities-Firms-0980058721 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 17. Points 1 and 2 amended per 5 June 2008 Public Announcement No. Taiwan-Stock-Trading-0970014067 of the Taiwan Stock Exchange Corporation; for immediate implementation
Per 29 May 2008 Letter No. Financial-Supervisory-Securities-II-0970025048 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 16. Points 1 and 4 amended and issued per 18 March 2008 Public Announcement No. Taiwan-Stock-Trading-0970201185 of the Taiwan Stock Exchange Corporation, for immediate implementation
Per 17 October 2007 Letter No. Financial-Supervisory-Securities-II-0960051409, and 13 March 2008 Letter No. Financial-Supervisory-Securities-II-0970006388 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 15. Points 1 and 4 amended and issued 7 per June 2007 Public Announcement No. Taiwan-Stock-Trading-0960202489 of the Taiwan Stock Exchange Corporation, for immediate implementation
Per 31 May 2007 Letter No. Financial-Supervisory-Securities-II-0960017799 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 14. Point 1 amended and issued on 11 May 2005 per Public Announcement No. Taiwan-Stock-Trading-0940012383 of the Taiwan Stock Exchange Corporation, for implementation from date of issuance
Approved for recordation 9 May 2005 per Letter No. Financial-Supervisory-Securities-II-09401123045 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 13. Point 1 amended and issued on 21 March 2005 per Public Announcement No. Taiwan-Stock-Trading-0940006497 of the Taiwan Stock Exchange Corporation, for implementation from date of issuance
Approved for recordation 11 March 2005 per Letter No. Financial-Supervisory-Securities-II-0940001141 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 12. Points 3 amended and promulgated on 11 March 2004 by the Taiwan Stock Exchange Corporation through Announcement (91) Taiwan-Stock-Exchange No. 0930004988
11. Point 1 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
Content Article In Change 10. Points 3-5 amended and promulgated on 15 March 2002 by the Taiwan Stock Exchange Corporation through Announcement (91) Taiwan-Stock-Exchange No. 005600, for implementation from date of promulgation
Content Article In Change 9. Point 1 amended promulgated on 9 January 2002 by the Taiwan Stock Exchange Corporation through Announcement (91) Taiwan-Securities-Exchange No. 034862
8. Point 1 amended promulgated on 11 August 2000 by the Taiwan Stock Exchange Corporation through Announcement (89) Taiwan-Securities-Exchange No. 201030
7. Amendments promulgated on 3 March 1999 by the Taiwan Stock Exchange Corporation through Announcement (88) Taiwan-Securities-Exchange No. 05372
6. Amendments promulgated on 2 February 1999 by the Taiwan Stock Exchange Corporation through Announcement (88) Taiwan-Securities-Exchange No. 02215
5. Amendments promulgated on 23 January 1997 by the Taiwan Stock Exchange Corporation through Announcement (86) Taiwan-Securities-Exchange No. 01503
4. Amendments promulgated on 8 April 1996 by the Taiwan Stock Exchange Corporation through Letter (85) Taiwan-Securities-Exchange No. 05070
3. Amendments promulgated on 9 May 1995 by the Taiwan Stock Exchange Corporation through Announcement (84) Taiwan-Securities-Exchange No. 22378
2. Amendments promulgated on 25 May 1992 by the Taiwan Stock Exchange Corporation through Announcement (81) Taiwan-Securities-Exchange No. 10113