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Chapter Content

Title:

Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts  CH

Amended Date: 2023.12.29 (Articles 3, 3-3, 7, 11, 12, 14, 18, 20 amended,English version coming soon)
Current English version amended on 2022.10.19 
Categories: Market Supervision > Regulation of Securities Firms
   Chapter 4 Supplementary Provisions
Article 22    Any violation of these Guidelines by a securities firm or its responsible person or employees is governed by the applicable rules of the TWSE, TPEx, TDCC and TSA.
Article 23    These Guidelines are drafted by the TWSE jointly with the TPEx and shall take effect after having been submitted to and approved by the competent authority. Subsequent amendments thereto shall be effected in the same manner.