| Title： |
Operating Rules of the Taiwan Stock Exchange Corporation(2003.05.02) |
| Date： |
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Article 25
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A securities firm shall maintain all accounts and related trading certificates, vouchers, books and statements, and contracts at its business location.
This Corporation may send personnel to examine and review the trading certificates, vouchers, books and statement, and contracts referred to in the preceding Paragraph, and securities firms shall not avoid or refuse such examinations; the securities firm shall consent that this Corporation may query the Joint Credit Information Center for information concerning the securities firm’s credit with financial institutions.
Except as otherwise provided in the Business Accounting Law, the number of years that the books and accounts and relevant trading certificates, vouchers, books and statements, and contracts shall be kept shall be in accordance with the Table on Number of Years for Securities Firms to Keep Their Books, Accounts, and Records prescribed by this Corporation.
When deemed necessary, this Corporation may request securities firms to provide their financial and business information, and disclose them to the public.
Government bonds which are in bearer form that are obtained by securities firms by utilizing their assets pursuant to Article 18 of the Regulations Governing Securities Firms shall be deposited with a depositary institution.
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