Taiwan Stock Exchange - Rules & Regulations Directory
Taiwan Stock Exchange Corporation Rules Governing Trading of Call (Put) Warrants
Securities Exchange Market > Trading > Call (Put) Warrants
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Taiwan Stock Exchange Corporation Rules Governing Trading of Call (Put) Warrants(2007.10.11)
A principal other than a qualified institutional investor that is trading in call (put) warrants for the first time shall sign in advance a risk disclosure statement before a securities firm may accept orders from it.
The TSEC shall prescribe the content that must be included in the risk disclosure statement.
"Qualified institutional investor" means a foreign or domestic bank, insurance company, bills finance company, securities firm, fund management company, government investment institution, government fund, pension fund, mutual fund, unit trust, securities investment trust company, securities investment consulting company, trust enterprise, futures commission merchant, or futures service enterprise.
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