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Laws

Title:

Standard Directions for the Content and Procedures of Assessment of Legal Compliance of Securities Firms  CH

Announced Date: 2007.04.18
Amended Date: 2025.09.03 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change5. Article 3 amended per 3 September 2025 per Public Announcement No. Taiwan-Stock-Intermediaries-1140016630 of the Taiwan Stock Exchange Corporation, for implementation from the date of public announcement
Approved 2 September 2025 per Letter No. Financial-Supervisory-Securities-Firms-1140346348 of the Financial Supervisory Commission
Content Article In Change 4. Article 3 amended per 24 July 2018 per Public Announcement No. Taiwan-Stock-Intermediaries-1070014205 of the Taiwan Stock Exchange Corporation, for immediate implementation
Approved for recordation 23 July 2018 per Letter No. Financial-Supervisory-Securities-Firms-1070322183 of the Financial Supervisory Commission
Content Article In Change 3.Article 3 and the attachment amended on 28 December, 2010, per Letter No. 2010-Taiwan-Stock-Listing--0990038940 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved for recordation per 24 December, 2008, Letter No. Financial-Supervisory-Securities-Trading-0990068483 of the Financial Supervisory Commission, Executive Yuan.
2.Article 3 amended per 7 May, 2008, Letter No. 2008-Taiwan-Stock-Listing-0970011224 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved for recordation per 2 May, 2008, Letter No. Financial-Supervisory-Securities-Trading-2-0970017522 of the Financial Supervisory Commission, Executive Yuan.
1.All four articles adopted and promulgated on 18 April, 2007, per Public Announcement No. 2007-Taiwan-Stock-Listing-0960009275 of the Taiwan Stock Exchange Corporation. for implementation from July 1, 2007.
Approved for recordation per 16 April, 2007, Letter No. Financial-Supervisory-Securities-Trading-2-09600095743 of the Financial Supervisory Commission, Executive Yuan.