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友善列印
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Amendments

Title:

Operating Rules of the Taiwan Stock Exchange Corporation  CH

Amended Date: 2022.08.11 (Articles 79-2 amended,English version coming soon)
Current English version amended on 2021.05.11 
Categories: Basic Laws and Regulations

Title: Operating Rules of the Taiwan Stock Exchange Corporation(2018.01.19)
Date:
Article 75-7     For a securities broker to accept an application for account opening, a principal shall provide documents necessary for verification of identification as required under the Regulations Governing Anti-Money Laundering of Financial Institutions.
Article 77-9     For a securities broker to accept an application for account opening, a principal who is an overseas Chinese or foreigner or mainland area investor shall provide documents necessary for verification of identification as required under the Regulations Governing Anti-Money Laundering of Financial Institutions.
Article 135     Where any securities firm violates Article 13, Article 16, paragraph 2 of Article 21, Article 23, paragraph 1 or 6 of Article 25, paragraph 3 of Article 28-1, paragraph 1 of Article 29, Article 33, Article 40, Article 68, subparagraph 1, 2, 3, 6, 8, or 11 of Article 75, paragraph 1 of Article 75-1, paragraph 1 of Article 75-2, Article 75-7, Article 76, Article 77-9, Article 79-1, paragraph 2, or 3 of Article 80, Article 80-1, paragraph 4 of Article 82, paragraph 3 of Article 85, Article 87, paragraph 2 of Article 93 or Article 95 hereof, the TWSE may notify it to make correction or improvement within a prescribed time frame, or, in addition thereto, impose a breach penalty of not more than NT$100,000.
    Where any securities firm violates these Operating Rules, the Regulations Governing Brokerage Contracts, or other bylaws, rules, regulations, announcements, and circular letters of the TWSE, unless otherwise provided, the TWSE may notify it to make correction or improvement within a prescribed time frame, or, in addition thereto, impose a breach penalty of not more than NT$100,000.