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Laws

Title:

Taipei Exchange Rules Governing Securities Firms Recommending Trades in Securities to Customers  CH

Announced Date: 1996.01.11
Amended Date: 2024.12.31 (Articles 5 amended,English version coming soon)
Current English version amended on 2017.12.21 
Content Article In Change10.Article 5 amended per 21 December 2017 Public Announcement No. Securities-TPEx-Intermediaries-10600342551 of the Taipei Exchange; for immediate implementation
Per 14 December 2017 Letter No. Financial-Supervisory-Securities-Firms-1060047391 of the Financial Supervisory Commission
9.Article 7-1 amended per 12 December 2016 Public Announcement No. Securities-TPEx-Intermediaries-10500353801 of the Taipei Exchange
Per 7 December 2016 Letter No. Financial-Supervisory-Securities-Firms-1050050202 of the Financial Supervisory Commission
8.Articles 5, 7, 11, and 12 amended and Article 7-1 added per 8 June 2016 Public Announcement No. Securities-TPEx-Intermediaries-10500159321 of the Taipei Exchange; for implementation from the date of announcement
Per 7 June 2016 Letter No. Financial-Supervisory-Securities-Firms-1050022535 of the Financial Supervisory Commission
7.Articles 6, 7, and 10 amended and Article 3-1 added per 18 September 2014 Public Announcement No. Securities-GTSM-Intermediaries-10300253391 of the GTSM; for enforcement from 19 September 2014
Per 15 September 2014 Letter No. Financial-Supervisory-Securities-Firms-10300207001 of the Financial Supervisory Commission
Content Article In Change 6.Article 6 amended and issued per 22 December 2010 Public Announcement No. Securities-GTSM-Trading-0990031179 of the GTSM; for implementation from the date of announcement
Approved for recordation per 16 December 2010 Letter No. Financial-Supervisory-Securities-Firms-0990070065 of the Financial Supervisory Commission, Executive Yuan
5.Articles 2, 4, 5, 6 and 7 amended and issued and Article 13 deleted per 11 February 2009 Public Announcement No. Securities-GTSM-Trading-0980001959 of the GTSM; for implementation from the date of announcement
Per 5 February 2009 Letter No. Financial-Supervisory-Securities-II-0980002870 of the Financial Supervisory Commission, Executive Yuan
4.Article 2 amended and issued per 1 October 2003 Public Announcement No. (92)-Securities-GTSM-Trading-30292 of the GTSM; for implementation from the date of announcement
Approved for recordation per 1 October 2003 Letter No. Taiwan-Finance-Securities-VIII-0920147639 of the Securities and Exchange Commission, Ministry of Finance
3.Full text of 14 Articles amended and issued per 19 September 2003 Public Announcement No. (92)-Securities-GTSM-Trading-28534 of the GTSM; for implementation from the date of announcement
Approved for recordation per 4 August 2003 Letter No. Taiwan-Finance-Securities-II-0920135122 of the Securities and Exchange Commission, Ministry of Finance
2.Approved for recordation per 7 October 1998 Letter No. (87)-Taiwan-Finance-Securities-(III)-84347 of the Securities and Exchange Commission, Ministry of Finance
Article 15 amended and issued per 14 October 1998 Public Announcement No. (87)-Securities-GTSM-Trading-29363 of the GTSM
1.Approved per 11 January 1996 Letter No. (85)-Taiwan-Finance-Securities-(II)-00099 of the Securities and Exchange Commission, Ministry of Finance; for implementation from 16 February 1996