Taiwan Stock Exchange - Rules & Regulations Directory
Regulations Governing Responsible Persons and Associated Persons of Securities Firms
Article No. Search
Regulations Governing Responsible Persons and Associated Persons of Securities Firms(2020.01.15)
Associated persons of a securities firm who engage in the business of proprietary trading of security tokens (virtual currencies that have the nature of securities) or equity crowdfunding business shall follow applicable rules adopted by the TPEx.
Responsible persons and associated persons of a securities firm who engage only in security token proprietary trading business or equity crowdfunding business are not subject to the provisions of Articles 8 to 11-2 and Articles 15 to 17.
Resolution：1024 x 768
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English version of regulations are translated by Baker McKenzie Taipei Office.