• Font Size:
  • S
  • M
  • L
友善列印
WORD

Amendments

Title:

Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers  CH

Amended Date: 2019.04.16 
Categories: Market Supervision > Regulation of Securities Firms

Title: Taiwan Stock Exchange Corporation Standards Governing Securities Firm Sites and Facilities(2002.03.15)
Date:
3  When a securities subsidiary of a financial holding company undertakes cross-selling, it may set up a securities counter at the operating venue of a bank or insurance enterprise. Each enterprise's counter shall be separate and clearly marked. In addition, bank or insurance counters may be set up within the operating venue of the securities firm, and the counters of each enterprise there shall also be separate and clearly marked.
In setting up a securities counter as referred to in the preceding paragraph, the securities firm shall report to the TSEC for recordation before it may use the counter; the TSEC may, when needed, dispatch personnel for an on-site inspection. When the counter is vacated, the securities firm shall report the fact to the TSEC within five days after vacating the counter.
4  No computerized information facilities may be established at any sites related to the securities firm's operating venue, such as the parking lots, warehouses, employee housing, or employee training facilities. Prior to purchase, establishment, or rental of a site, the TSEC shall be notified by letter.
5  In the event that the competent building administration authorities of the county or city declare the operating venue of a securities firm an unsafe structure or declare it in violation of relevant codes and issue an order to discontinue use of the venue, or in the event the securities firm fails to effect improvement or undertake necessary measures following an order to effect improvement within a specified time period, the TSE may handle the matter in accordance with Article 5 of the "Taiwan Stock Exchange Corporation Contract for Use of the Centralized Securities Exchange Market."