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Subordinate Legislation

Title:

Regulations Governing Securities Firms  CH

Amended Date: 2020.10.29 (Articles 14-6, 21, 32-1, 35-2, 68-1 amended,English version coming soon)
Current English version amended on 2020.02.03 
1. Guidelines for Handling Defects in Filing of Supervisory Information by Securities Firms(2020.04.06) CH
2. Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers(2017.11.22) CH
3. Rules Governing the Proprietary Trading of Foreign Bonds by Securities Firms(2020.09.15) CH
4. Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms(2018.04.20) CH
5. Taipei Exchange Regulations Governing the Conduct of Equity Crowdfunding by Securities Firms(2019.01.02) CH
6. Taipei Exchange Rules Governing Securities Firms Recommending Trades in Securities to Customers(2010.12.22) CH
7. Taipei Exchange Rules Governing the Operation by Securities Firms of the Business of Proprietary Trading of Security Tokens(2020.01.20) CH
8. Taiwan Securities Association Rules Governing Underwriting and Resale of Securities by Securities Firms(2016.04.12) CH
9. Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms(2015.06.04) CH
10. Taiwan Stock Exchange Corporation Rules for Administration of Additional Deposits by Securities Firms to the Clearing and Settlement Fund(2012.01.11) CH
11. Taiwan Stock Exchange Corporation Rules for Administration of the Joint Responsibility System Clearing and Settlement Fund(2012.01.11) CH
12. Taiwan Stock Exchange Corporation Rules Governing Stabilization of Trades of Listed Securities(2004.08.03) CH
13. Taiwan Stock Exchange Corporation Rules Governing the Operation of the Joint Credit Information System(2020.03.11) CH