Taiwan Stock Exchange - Rules & Regulations Directory
News Release
Laws
Categories
Searching
Homepage
Chinese
RSS
Font Size：
S
M
L
Amendments
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms
CH
Amended Date：
2025.05.08 (Articles 21-1 amended,English version coming soon)
Current English version amended on 2024.03.06
Article Content
Content Search
Article No. Search
Legal Basis
Subordinate Legislation
Amended Article
Legislative History
Chinese
Title：
Regulations Governing Responsible Persons and Associated Persons of Securities Firms(2015.04.28)
Date：
2022.10.28
2021.05.06
2020.10.26
2020.01.15
2015.08.28
2015.04.28
2014.06.27
2013.12.30
2011.10.06
2010.10.11
2008.12.22
2008.06.09
2007.10.02
2006.07.26
2005.09.15
2003.12.31
2003.02.21
2002.03.11
Article 21-1
Associated persons of a securities firm who engage in equity crowdfunding business shall follow applicable rules adopted by the TPEx.
Responsible persons and associated persons of a securities firm who engage in only equity crowdfunding business are not subject to the provisions of Articles 8 to 11-2 and Articles 15 to 17.