Taiwan Stock Exchange - Rules & Regulations Directory
time:2019/12/12 07:02

Article Content

Title:

Taiwan Stock Exchange Corporation Directions for the Installation by Securities Firms of Automatic Service Equipment Outside of Their Place of Business 

Repeal Date: 2015.01.22 
Categories: Market Supervision > Regulation of Securities Firms

Article 1
    The installation of automatic service equipment outside of their place of business (Equipment") by securities firms shall conform to Article 1.15 of the Taiwan Stock Exchange Corporation (TWSE) Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers as well as these Directions.

Article 2
    The Equipment refer to the automatic service equipment providing the services set forth in Article 1.15 of the TWSE Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers except in the place of business of the head office, branch offices and cross-selling counter of the securities firm.

Article 3
    A securities firm to install the Equipment shall report to the TWSE in writing for recordation and make a filing on the unified reporting system five business days prior to such installation. The same shall apply to the displacement and removal of he Equipment.

Article 4
    The securities firm installing the Equipment may not post personnel permanently on site for management and shall establish a video (camera) surveillance system, anti-burglary equipment, and facilities and illumination fixtures that prevent peeping and allow users to detect activities behind their back for its exclusive use.
    Video tapes recorded by the above-mentioned surveillance system shall be kept in the place of business for at least one month, and such term shall be expressly stated on the automatic service equipment for investors' information. However, in the event of a trading dispute, the video tapes shall be kept until such dispute is resolved.

Article 5
    The administrators of the securities firm and the Equipment shall fully cooperate with the competent authority and the TWSE in audits and may not impede, refuse or evade such audits.

Article 6
    These Directions and any amendment thereto shall take effect after having been submitted to and approved by the competent authority. Subsequent amendments thereto shall be effected in the same manner.

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw