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Regulations Governing Securities Firms  CH

Amended Date: 2020.10.29 (Articles 14-6, 21, 32-1, 35-2, 68-1 amended,English version coming soon)
Current English version amended on 2020.02.03 

Title: Rules Governing Securities Firms(2004.08.02)
Article 2  A securities firm shall, according to the Criteria Governing Internal Control Systems of Services Enterprises in the Securities and Futures Market set by the Financial Supervisory Commission, Executive Yuan (the “Commission”), and other securities firm internal control regulations set by the Taiwan Stock Exchange Corporation (hereinafter referred to as "the Stock Exchange"), and other securities-related institutions, establish its own internal control system.
 The operation of securities firm shall be in accordance with laws and regulations, articles of incorporation, and the internal control system referred to in the preceding Paragraph.
 Any amendments to be made to the internal control system referred to in Paragraph 1 per the notice of the Commission or a securities-related institution shall be made within the specified time limit.
Article 19-3 A securities firm may operate derivative financial product trading business at its business premises, and shall do so in accordance with the provisions of the GreTai.

"Derivative financial product trading" in the preceding paragraph includes convertible bond asset swaps, structured notes, New Taiwan Dollar interest rate derivatives, and bond derivatives transactions.