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Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients  CH

Amended Date: 2015.03.31 
Categories: Market Supervision > Regulation of Securities Firms
   Chapter IV Supplementary Provisions
Article 23    In the event of a violation of these Guidelines by the securities firm, its responsible person or employees, the TWSE, GTSM and the CSA may take actions according to their applicable policies and rules.
Article 24    These Guidelines shall take effect after having been submitted to and approved by the Competent Authority. Subsequent amendments thereto shall be effected in the same manner.