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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(2004.03.11)
Date:
3  Provisions regarding cross-selling and cooperative promotions between a securities firm and banking or insurance enterprises:
(1) 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, banking, or insurance counter as referred to in the preceding paragraph, the securities firm shall submit a report to the TSEC for recordation before it may use the counter, to which it shall attach photos, a floor plan, a basic information report form for the counter, and a photocopy of the Ministry of Finance's letter of approval for cross selling. When there is any change to such a counter due to a change in the arrangement or use of the interior space of the original operating venue, or due to a relocation of the operating venue where the securities counter is located, the securities firm shall report the fact to the TSEC within five days after the change. The TSEC may, when needed, dispatch personnel for an on-site inspection. When any counter is vacated, the securities firm shall report the fact to the TSEC within five days after the counter is vacated.
(2) Securities firms that meet Ministry of Finance conditions may engage in cooperative promotions of banking or insurance products or related services within their operating venues. The types of services shall be clearly indicated, however, and may not be carried out at the securities firm's business counter.
Before a securities firm may begin any cooperative promotion of banking or insurance products or related services, it shall file a letter of report with the TSEC for recordation, attaching photos, a floor plan, the cooperative promotion agreement, and a photocopy of the letter of approval from the competent authority. The TSEC may, as needed, dispatch personnel for an on-site inspection. When there is any change in the cooperative promotion site due to a change in the interior arrangement or use of the original operating venue, the securities firm shall report the fact to the TSEC within five days after the change, and the TSEC may, as needed, dispatch personnel for an on-site inspection. If the cooperative promotion agreement is terminated, the securities firm shall report the fact to the TSEC within five days from the date the agreement is terminated. The provisions of the preceding paragraph shall apply when the securities firm enters into a cooperative promotion with a new partner.