Chapter I General Provisions
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| Article 1 | These Regulations are established to enable an effective management of the Co-Location services.
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| Article 2 | The following terms as used in these Regulations shall have the definition as below:
- "Competent Authority" means the Financial Supervisory Commission.
- "Users" refer to the securities firms (head office) that request for the Co-Location services in accordance with the Regulations, Users who have signed the "Supply and Use of Trading Information Contract" with the Taiwan Stock Exchange Corporation (TWSE) to access trading information through direct connection, and other enterprises that makes the same request and have obtained an approval from the TWSE.
- "Co-Location services" (the "Services") are the services available by the TWSE through which the TWSE provides the equipment space where Users store their servers and network devices directly connecting to the TWSE's securities trading servers, including but not limited to server cabinets, power supply, fire protection equipment, air-conditioned space, cables and access security control.
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Chapter II Application for Use, Fees and Changes
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| Article 3 | The TWSE may reject an application for the Services filed by a User who is in either of the following circumstances:
- Has a history of termination of use by the TWSE for violation of these Regulations or the Service Contract within the past two years, or has an overdue payment despite that the violation or termination took place more than two years ago.
- Has used the Services in a manner in violation of laws and regulations or the TWSE policies and rules, or has damaged the rights and interests of the TWSE or a third party for stealing, modifying or sabotaging data or equipment.
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| Article 4 | An applicant for the Services shall sign the Co-Location Service Contract (the "Service Contract") with the TWSE, and complete the application for Co-Location and its additional services and furnish the following data at the TWSE's Co-Location User Service System. No devices may be moved to the premises without the TWSE's approval and notice of installation of devices.
- list of equipment
- network diagram
- firewall regulations
The TWSE may rescind the contract with an applicant and cancel its application if the applicant fails to move its devices to the designated premises within sixty (60) days after the date for installation of devices specified by the TWSE. If an extension is needed, the applicant may request an extension with a legitimate reason.
The applicant shall not request an extension of more than sixty (60) days or its application will be canceled by the TWSE.
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| Article 5 | After signing of the Service Contract, the User shall immediately request the competitive auction devices or stock trading data transmission for testing. Devices will only be connected to the TWSE's servers if the test results are good.
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| Article 6 | Fee rates for the Service shall be referred to the TWSE's Co-Location service fee rate schedule or as notified by the TWSE if different from the schedule.
If a User has any past due for the Services and fails to make the overdue payment within the period specified in the notice, the TWSE may suspend the Services or terminate the contract.
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| Article 7 | A User shall notify the change to any of the following to the TWSE:
- Its representative, contact person, address, telephone number and other contact information.
- Location of server cabinets, number of cabinets (both increase and decrease), and number of connection lines.
- Its maintenance staff and management staff.
- Suspension of operation, termination of business, assignment of business, merger or dissolution.
- Other notifications required by the TWSE.
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| Article 8 | If a User wishes to change the Services, it shall make a request to the TWSE for prior approval and shall continue to pay for the Services until after the TWSE's approval and completion of the construction work necessitated by the change.
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| Article 9 | A User wishing to suspend the Services or terminate the contract shall send a 30-day notice to the TWSE.
In case of suspension of the Services requested by the User or according to the TWSE polices and rules, or contract terms, the User shall continue to pay all required fees during the suspension.
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Chapter III Restrictions on Use
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| Article 10 | Use of the Services is limited to connection for trading at the securities and future markets and stock trading data transmission. Users shall not use the Services for purposes other than securities and futures trading unless otherwise approved by the TWSE.
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| Article 11 | If a securities firm acts as both dealer and broker at the same time, the Services may not be used in the brokerage business later than the dealing business except when the obligation to provide quotations is to be performed in the dealing business.
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| Article 12 | When a User terminates the basic services, the additional services will terminate at the same time except for reserved server cabinets as part of the additional services.
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| Article 13 | The power consumed by an individual cabinet used by the User shall not exceed the limit specified by the TWSE. If more power consumption is expected, the User needs to apply for an additional cabinet.
The TWSE may suspend the Services or terminate the contract in the event of a violation of the provisions of the preceding paragraph.
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| Article 14 | Users of the Services shall not be in any of the circumstances:
- Information contained in its communications discloses the government's confidential information, endangers national security, compromises social stability, or breaches public order and good morals.
- Providing goods or services in violation of any laws or regulations.
- Infringing another's copyrights.
- Disrupting communications, or stealing, changing or sabotaging another's information.
- Spreading computer viruses or such other programs that would interfere with normal operation of computers or electronic devices.
- Affecting the operation of the TWSE's system.
- Subletting, subleasing, lending or otherwise making its cabinets available for use by third party, except for shared use of the same cabinet as permitted under Article 15.
- Other behaviors in violation of laws and regulations or the TWSE policies and rules.
The TWSE may suspend services or terminate the contract in the event of a violation of the preceding paragraph.
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| Article 15 | A non-information company User may apply to share the same cabinet for use with its affiliate, and the maximum number of Users sharing the same cabinet will be reviewed and determined by the TWSE.
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| Article 16 | A User shall not request to connect the cabinet it is using with a cabinet used by a different User; provided, however, that different Users, except for an information company, that are affiliated to each other may request to connect their adjacent cabinets.
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| Article 17 | The TWSE may suspend or halt part or all of the Services to maintain market trading security or as instructed by the Competent Authority, in which case Users shall work with the TWSE without making any complaint or requesting any compensation.
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Chapter IV Establishment of Rules of Use
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| Article 18 | A securities firm shall establish the rules of use and incorporate the same in its internal control and audit system prior to using the Services in its brokerage business, and shall comply with said rules.
The rules of use mentioned in the preceding paragraph may not be established for the exclusive benefit of specific persons, and attention shall be paid to their reasonableness.
A securities firm using the Services in its brokerage business may not act against regulations governing acceptance by securities firms to trade or information security.
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| Article 19 | The rules of use mentioned in the preceding article shall include the following:
- The qualifications of investors which may use the Services shall be prescribed, taking into account factors such as the securities firm’s scale of operation, customer structure, and customer contribution.
- Qualified investors shall be notified that they may apply for or use the Services, with a record kept.
- The list of investors eligible to use the Services shall be periodically reviewed at least on a biannual basis, with a record kept.
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| Article 20 | If a securities firm violates the preceding two articles in its brokerage business, the TWSE may suspend services and request the violation be rectified within a prescribed time limit, and may terminate the contract if no rectification is made within said time limit.
A securities firm having services suspended in accordance with the preceding paragraph may not seek resumption of services until after rectification of the deficiency is confirmed completed upon re-inspection.
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Chapter V User and Equipment Access Management
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| Article 21 | Users accessing the TWSE's Co-Location room shall comply with the following rules:
- A User's management and maintenance staff shall submit a request and obtain the TWSE's prior authorization before they may enter the Co-Location room.
- For equipment to be moved in and out of the Co-location room, an application shall be made on the Co-Location User Service System, and they shall be inventoried as requested.
- Only the individuals listed in the Taiwan Stock Exchange Corporation Authorized Co-Location Management and Maintenance Staff List may access the TWSE's equipment rooms. No other individuals may access the equipment room unless authorized by the TWSE.
- When accessing the Co-Location room, a User's management and maintenance staff are restricted to the routes necessary for them to get to their cabinets and servers and the common areas.
- The servers and network devices in the cabinets shall be inventoried periodically as requested.
The TWSE may prohibit an individual from entering the Co-Location room or ask him/her to immediately leave the room in the event of a violation of the provisions of the preceding paragraph.
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| Article 22 | Well-planned information security protection measures shall be in place and enforced in accordance with the Establishing Information Security Inspection Mechanisms for Securities Firms and Securities Firm Internal Control System Standards in regard to software and/or hardware equipment maintained by the User in the Co-Location room .
The TWSE may suspend the Services or terminate the contract in the event of a violation of the provisions of the preceding paragraph.
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| Article 23 | Management of Users and maintenance staff's use of the Services shall be governed by the TWSE operational manual and other applicable rules.
The TWSE may suspend the Services or terminate the contract in the event of a violation of the provisions of the preceding paragraph.
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Chapter VI Supplementary Provisions |
| Article 24 | For matters not provided for under these Guidelines, other applicable laws and regulations and the applicable TWSE policies and rules, notices, communications, and public announcements shall be referred to.
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| Article 25 | These Guidelines shall be take effect after having been submitted to and approved by the competent authority. Subsequent amendments thereto shall be effected in the same manner.
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