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友善列印
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Amendments

Title：

Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms  CH

Amended Date： 2024.04.16 (Articles 41-1 amended,English version coming soon)
Current English version amended on 2022.07.14 
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese

Title： GreTai Securities Market Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms(2011.12.16)
Date：
Article 30-3 For customized structured instruments sold by a securities firm, it shall establish mechanisms for the internal prior review and subsequent follow-up of the new type of instrument, and before conducting the sale of a new type of instrument, shall scrupulously carry out the review in accordance with those mechanisms.
The content of the prior review mechanisms of the preceding paragraph at least shall include the following particulars:
1. Review of the nature of the instrument.
2. Review of the operational strategy and business policy.
3. Review of risk management.
4. Review of internal controls.
5. Review of accounting methods.
6. Review of relevant legal and regulatory compliance and of required legal documents.
Article 30-4 A securities firm shall adopt the content of Article 30-1, Article 30-2, and Article 30-3 as part of its internal control and internal auditing systems and carry out related audits and inspections.