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Laws

Title：

Corporate Governance Best-Practice Principles for Securities Firms  CH

Announced Date： 2003.01.29
Amended Date： 2023.02.08 
Categories： Corporate Governance
Article Content Chapter Content Search Article No. Search Amended Article Legislative History Chinese
Content Article In Change12. Articles 18, 24, 27, 37, 40, 51, and 62 amended, Articles 3-2～3-4, 10-1, 28-4, 37-2, and 37-3 added, Article 63 deleted, and Article 64 renumbered as Article 63, per 8 February 2023 Public Announcement Taiwan-Stock-Intermediary-1120001701 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Per 4 February 2023 Letter Financial-Supervisory-Securities-Firms-1110356335 of the Financial Supervisory Commission.
Content Article In Change 11. Article 20 amended per 30 June 2022 Public Announcement Taiwan-Stock-Intermediary-1110012421 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Per 27 June 2022 Letter Financial-Supervisory-Securities-Firms-1110140275 of the Financial Supervisory Commission.
Content Article In Change 10.Articles 62 and 63, and Section 3 of Chapter 6 added; and Article 62 moved to Article 64, per 4 May 2021 Public Announcement Taiwan-Stock-Intermediary-1100008032 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Per 3 May 2021 Letter Financial-Supervisory-Securities-Firms-1100333619 of the Financial Supervisory Commission.
Content Article In Change 9. Articles 3, 5, 6, 7, 10, 11, 22~24, 26, 28, 28-1, 28-3, 31, 35, 37, 39, 42, 46, 49 and 57 amended; Articles 3-1, 28-2, and 37-1 added; and Article 28-2 moved to Article 28-3, per 6 January 2021 Public Announcement. Taiwan-Stock-Intermediary-1090024618 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Per 29 December 2020 Letter Financial-Supervisory-Securities-Firms-1090373995 of the Financial Supervisory Commission.
Content Article In Change 8. Article 24 amended per 14 January 2019 Public Announcement Taiwan-Stock-Intermediary-1080000763 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Per 11 January 2019 Letter Financial-Supervisory-Securities-Firms-1070121700 of the Financial Supervisory Commission.
Content Article In Change 7. Articles 1~5, 11, 12, 13, 14, 16~18, 20, 21~23, 25~28, 29, 32, 33, 35, 37, 39, 42, 49, 53, 60 and 61, and the title of Section 3 of Chapter 3 amended; Articles 13-1, 13-2, 28-1 and 28-2, and Section 2 of Chapter 2 added, thus existing Section 2 becoming Section 3, per 15 December 2017 Public Announcement Taiwan-Stock-Intermediary-1060023721 of the Taiwan Stock Exchange Corporation; for immediate implementation.
Content Article In Change 6. Articles 7, 8, 12, 20-1~23, 26~29, 40~42, 51, 53 and 61 amended per 24 December 2014 Letter Taiwan-Stock-Intermediary-1030026384 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Per 18 December 2014 Letter Financial-Supervisory-Securities-Firms-1030044978 of the Financial Supervisory Commission.
Content Article In Change 5. Articles 32 and 34 amended per 1 October 2010 Public Announcement Taiwan-Stock-Trading-0990029430 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Per 30 September 2010 Letter Financial-Supervisory-Securities-Firms-0990053703 of the Financial Supervisory Commission.
Content Article In Change 4. Articles 1, 3, 7, 12, 18, 20, 24~28, 35, 40, 43~45, 48, 51, 52, 57 and 61 amended and Articles 20-1 and 35-1 added per 21 October 2009 Public Announcement Taiwan-Stock-Trading-0980206824 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Per 24 September 2009 Letter Financial-Supervisory-Securities-Firms-0980051365 of the Financial Supervisory Commission.
Content Article In Change 3. All 62 articles amended and the title of Chapter 4, Section 2 published per 13 February 2007 Public Announcement Taiwan-Stock-Trading-0960002888 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Per 29 January 2007 Letter Financial-Supervisory-Securities-II-0950159375 of the Financial Supervisory Commission.
Content Article In Change 2. All 66 articles amended and published per 6 August 2004 Public Announcement Taiwan-Stock-Trading-0930019752 of the Taiwan Stock Exchange Corporation; for implementation on the public announcement date.
Approved per 29 July 2004 Letter Financial-Supervisory-Securities-II-0930124145 of the Financial Supervisory Commission for recordation.