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Laws

Title:

Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms  CH

Announced Date: 2005.02.23
Amended Date: 2024.04.16 (Articles 41-1 amended,English version coming soon)
Current English version amended on 2022.07.14 
Content Article In Change32. Article 55-1 amended per 14 July 2022 Public Announcement No. Securities-TPEx-Bond-11100623471 of the Taipei Exchange; for enforcement from the date of public announcement
Approved for recordation per 8 July 2022 Letter No. Financial-Supervisory-Securities-Firms-1110139154 of the Financial Supervisory Commission
Content Article In Change 31. Articles 6, 19, 24, 25, and 44 amended per 16 October 2020 Public Announcement No. Securities-TPEx-Bond-10900657751 of the Taipei Exchange;
for implementation from the date of public announcement, with the exception of the amendments to paragraph 3 of Article 6, Article 19, Article 24, Article 25, and Article 44, which shall be implemented from 6 months after the date of public announcement Per 13 October 2020 Letter No. Financial-Supervisory-Securities-Firms-1090139155 of the Financial Supervisory Commission
Content Article In Change 30. Articles 5, 6, 9 to 11, 14, 19, 22, 34, 38, 43, and 45 amended per 20 April 2018 Public Announcement No. Securities-TPEx-Bond-10700094011 of the Taipei Exchange;
for implementation from the date of public announcement, with the exception of Article 6, which shall be implemented from 23 July 2018 Approved for recordation per 12 April 2018 Letter No. Financial-Supervisory-Securities-Firms-1070104149 of the Financial Supervisory Commission
Content Article In Change 29. Articles 6, 31, 35, and 53 to 55 amended and Article 37-1 added per 19 June 2017 Public Announcement No. Securities-TPEx-Bond-10604002811 of the Taipei Exchange;
for implementation from the date of public announcement, with the exception of Article 6, which shall be implemented 6 months after the date of public announcement Approved for recordation per 9 June 2017 Letter No. Financial-Supervisory-Securities-Firms-1060014952 of the Financial Supervisory Commission
Content Article In Change 28. Articles 6, 15, 19, and 42 amended per 16 October 2015 Public Announcement No. Securities-TPEx-Bond-10400292171 of the Taipei Exchange;
for implementation from the date of public announcement Approved for recordation per 8 October 2015 Letter No. Financial-Supervisory-Securities-Firms-1040036373 of the Financial Supervisory Commission
27. Articles 8, 19, 35, and 45 amended per 10 August 2015 Public Announcement No. Securities-TPEx-Bond-10400222642 of the Taipei Exchange;
for implementation from the date of public announcement Approved for recordation per 4 August 2015 Letter No. Financial-Supervisory-Securities-Firms-1040026049 of the Financial Supervisory Commission
Content Article In Change 26. Articles 15, 16, 19, 25, and 44 amended per 26 June 2015 Public Announcement No. Securities-TPEx-Trading-10404002452 of the Taipei Exchange; for immediate implementation
Approved for recordation per 12 June 2015 Letter No. Financial-Supervisory-Securities-Firms-10400163391 of the Financial Supervisory Commission
Content Article In Change 24. Full text of 57 articles amended per 31 December 2014 Public Announcement No. Securities-GTSM-Bonds-10300351632 of the GreTai Securities Corporation; for immediate implementation
Per 24 December 2014 Letter No. Financial-Supervisory-Securities-Firms-1030046299 of the Financial Supervisory Commission
Content Article In Change 23. Article 53 amended per 22 April 2014 Public Announcement No. Securities-GTSM-Bonds-10300089801 of the GreTai Securities Corporation; for implementation from the date of public announcement
Per 15 April 2014 Letter No. Financial-Supervisory-Securities-Firms-1030010497 of the Financial Supervisory Commission
Content Article In Change 22. Article 44 amended per 13 February 2014 Public Announcement No. Securities-GTSM-Bonds-10300026691 of the GreTai Securities Market; for implementation from the date of public announcement
  Per 6 February 2014 Letter No. Financial-Supervisory-Securities-Firms-1020049851 of the Financial Supervisory Commission
Content Article In Change 21. Articles 3, 41, 45, 57, 61, 62, and 67 amended and Article 16-1 added per 25 September 2013 Public Announcement No. Securities-GTSM-Bonds-1020023983 of the GreTai Securities Market; for implementation from the date of public announcement
  Per 23 September 2013 Letter No. Financial-Supervisory-Securities-Firms-1020038788 of the Financial Supervisory Commission
Content Article In Change 20. Article 58 amended per 7 January 2013 Public Announcement No. Securities-GTSM-Bonds-1010031563 of the GreTai Securities Market; for implementation from the date of public announcement
  Per 24 December 2012 Letter No. Financial-Supervisory-Securities-Firms-1010056501 of the Financial Supervisory Commission
Content Article In Change 19. Article 5 and Attachment 3 of Articles 29 and 42 amended per 23 November 2012 Public Announcement No. Securities-GTSM-Bonds-1010028813 of the GreTai Securities Market
Per 19 November 2012 Letter No. Financial-Supervisory-Securities-Firms-1010052526 of the Financial Supervisory Commission
Content Article In Change 18. Article 43-1 amended per 12 October 2012 Public Announcement No. Securities-GTSM-Bonds-1010024728 of the GreTai Securities Market, for enforcement from the date of announcement
Per 4 October 2012 Letter No. Financial-Supervisory-Securities-Firms-1010045779 of the Financial Supervisory Commission
Content Article In Change 17. Articles 5, 15, 54, and 64 amended and Articles 15-1 to 15-3 added per 6 April 2012 Public Announcement No. Securities-GTSM-Bonds-1010006810 of the GreTai Securities Market, for implementation from the date of announcement
Per 30 March 2012 Letter No. Financial-Supervisory-Securities-Firms-1010008321 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 16. Article 30-3 added and original Article 30-3 renumbered as Article 30-4 per 16 December 2011 Public Announcement No. Securities-GTSM-Bonds-1000033364 of the GreTai Securities Market, for implementation from the date of announcement
Per 12 December 2011 Letter No. Financial-Supervisory-Securities-Firms-1000060241 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 15. Articles 30 and 31 amended and issued per 25 March 2011 Public Announcement No. Securities-GTSM-Bonds-1000005633 of the GreTai Securities Market
Per 17 March 2011 Letter No. Financial-Supervisory-Securities-Firms-1000005389 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 14. Article 38 amended and issued per 28 October 2010 Public Announcement No. Securities-OTCGTSM-Bonds-0990026373 of the GreTai Securities Market; for implementation from date of announcement
Approved for recordation per 28 October 2010 Letter No. Financial-Supervisory-Securities-Firms-0990055238 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 13. Article 57 amended and issued 22 April 2010 per Public Announcement No. Securities-OTCGTSM-Bonds-0990008341 of the GreTai Securities Market; for implementation from 20 October 2010
Acknowledged for recordation 12 April 2010 per Letter No. Financial-Supervisory-Securities-Firms-0990012009 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 12. Articles 7, 9, 15, 16, 20, 24, 26, 43, 44, 49, 53, and 64 and Appendix 3 of Article 29 amended and Articles 5-1, 5-2, 30-1, 30-2, and 30-3 added 5 January 2010 per Public Announcement No. Securities-OTCGTSM-Bonds-0980032276 of the GreTai Securities Market; for implementation from date of announcement
Approved for recordation 29 December 2009 per Letter No. Financial-Supervisory-Securities-Firms-0980070445 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 11. Articles 35 and 40 and Appendices 1-1 and 1-2 of Article 13 amended 19 February 2009 per Public Announcement No. Securities-OTCGTSM-Bonds-0980002299 of the GreTai Securities Market; for implementation from date of announcement
Acknowledged 11 February 2009 per Letter No. Financial-Supervisory-Securities-II-0980005059 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 10. Articles 45, 64 amended and Article 43-1 added per 5 January 2009 Public Announcement No. Securities-OTCGTSM-Bonds-0970033920 of the GreTai Securities Market; for implementation from 9 February 2009
Approved for recordation per 29 December 2008 Letter No. Finance-Supervisory-Securities-II-0970071146 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 9. Articles 16, 20, 24, 29, 31, 43, 49, and 53 amended per 5 September 2008 Public Announcement No. Securities-OTCGTSM-Bonds-0970023929 of the GreTai Securities Market; for implementation from date of announcement
Approved for recordation per 1 September 2008 Letter No. Finance-Supervisory-Securities-II-0970023929 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 8. Full text of 69 articles amended and issued 31 December 2007 per Public Announcement No. Securities-OTCGTSM-Bonds-0960038693 of the GreTai Securities Market, for implementation from the date of announcement
Approved for recordation 26 December 2007 per Letter No. Finance-Supervisory-Securities-II-0960074564 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 7. Articles 4-1, 9, 13, 15, 18, 20-1, 25, 26, 31-1, 31-2, and 34 to 38 amended and issued, Articles 26-3 and 40 to 42 added, and original Articles 40 to 57 renumbered 43 to 60 on 1 March 2007 per Public Announcement No. Securities-OTCGTSM-Bonds-0960400112 of the GreTai Securities Market; for immediate implementation
Approved for recordation 16 February 2007 per Letter No. Finance-Supervisory-Securities-II-0960005885 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 6. Articles 42 and 43 amended and issued and Article 4-1 added on 25 September 2006 per Public Announcement No. Securities-OTCGTSM-Bonds-0950400667 of the GreTai Securities Market; for immediate implementation
Approved for recordation 21 September 2006 per Letter No. Finance-Supervisory-Securities-II-0950139827 of the Securities and Futures Bureau, Financial Supervisory Commission, Executive Yuan
Content Article In Change 5. Articles 4, 5, 9, 11, 27, 31-1, 31-2 and Appendices 1 and 2 of Article 8 amended; Articles 34 through 39 and 41 and name for Section 3 of Chapter 5 added; original articles 34 through 50 renumbered as Articles 40 through 57; said changes issued on 5 September 2006 per Public Announcement No. Securities-OTCGTSM-Bonds-0950023992 of the GreTai Securities Market; for immediate implementation
Approved and/or recorded 1 September 2006 per Letter No. Financial-Supervisory-Securities-II-0940004195 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 4. Schedule 3 of Article 25 and Articles 31 and 46 amended and issued and Articles 31-1 and 31-2 added on 23 February 2006 per Public Announcement No. Securities-OTCGTSM-Bond-0950004213 of the GreTai Securities Market; for implementation from the date of announcement
Approved for recordation and implementation 20 February 2006 per Letter No. Financial-Supervisory-Securities-II-09500008017 and 26 September 2005 per Letter No. Financial-Supervisory-Securities-II-0940125727 of the Financial Supervisory Commission, Executive Yuan
Content Article In Change 3. Articles 25 to 28, 31, 32, and 35 amended and issued and Articles 26-1 and 26-2 added 18 October 2005 per Public Announcement No. Securities-OTCGTSM-Bonds-0940026999 of the GreTai Securities Market; for implementation from the date of announcement
Approved for recordation 12 October 2005 per Letter No. Financial-Supervisory-Securities-II-0940004647 of the Securities and Futures Bureau, Financial Supervisory Commission, Executive Yuan
2. Articles 12, 15, and 20 amended and issued, Articles 12-1 and 20-1 added, and Articles 29 and 30 deleted 27 June 2005 per Public Announcement No. Securities-OTCGTSM-Bonds-0940015824 of the GreTai Securities Market; for implementation from the date of announcement
Approved for recordation 20 June 2005 per Letter No. Financial-Supervisory-Securities-II-0940002759 of the Financial Supervisory Commission, Executive Yuan
1. Full text of 50 articles adopted and issued 23 February 2005 per Public Announcement No. Securities-OTCGTSM-Bonds-0940003839 of the GreTai Securities Market; for immediate implementation
Approved for recordation 31 December 2004 per Letter No. Financial-Supervisory-Securities-II-0930006344 and 15 February 2005 per Letter No. Financial-Supervisory-Securities-II-0940102794 of the Financial Supervisory Commission, Executive Yuan