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Amendments

Title：

Taiwan Stock Exchange Corporation Co-Location Service Management Regulations  CH

Amended Date： 2021.05.11 
Categories： Information Operations
Article Content Chapter Content Search Article No. Search Amended Article Legislative History Chinese

Title： Taiwan Stock Exchange Corporation Co-Location Service Management Regulations(2021.01.25)
Date：
Article 4     An applicant for the Services shall sign the Co-Location Service Contract (the "Service Contract") with the TWSE, and complete the application for Co-Location and its additional services and furnish the following data at the TWSE's Co-Location User Service System. No devices may be moved to the premises without the TWSE's approval and notice of installation of devices.
  1. list of equipment
  2. network diagram
  3. firewall regulation
    The TWSE may rescind the contract with an applicant and cancel its application if the applicant fails to move its devices to the designated premises within sixty (60) days after the date for installation of devices specified by the TWSE. If an extension is needed, the applicant may request an extension with a legitimate reason.
    The applicant shall not request an extension of more than sixty (60) days or its application will be canceled by the TWSE.
Article 11     If a securities firm acts as both dealer and broker at the same time, the Services may not be used in the brokerage business later than the dealing business except when the obligation to provide quotations is to be performed in the dealing business.
Article 18     A securities firm shall establish the rules of use in accordance with the treating customer fairly principle and incorporate the same in its internal control and audit system prior to using the Services in its brokerage business, and shall treat investors in a fair manner in accordance with said rules.
    The rules of use mentioned in the preceding paragraph may not be established for the exclusive benefit of specific persons, and attention shall be paid to their reasonableness.
Article 19     The rules of use mentioned in the preceding article shall include the following:
  1. The qualifications of investors which may use the Services shall be prescribed, taking into account factors such as the securities firm’s scale of operation, customer structure, and customer contribution.
  2. The aforementioned qualifications shall be publicly announced to all investors, with a record kept.
  3. The list of investors eligible to use the Services shall be periodically reviewed at least on a biannual basis, with a record kept.
  4. Co-Location services shall be made available voluntarily to all eligible investors except those expressly indicating they have no intention to use the services. A record of such indication shall be kept for reference.
Article 20     If a securities firm violates the preceding two articles in its brokerage business, the TWSE may suspend services and request the violation be rectified within a prescribed time limit, and may terminate the contract if no rectification is made within said time limit.
Article 21     Users accessing the TWSE's Co-Location room shall comply with the following rules:
  1. A User's management and maintenance staff shall submit a request and obtain the TWSE's prior authorization before they may enter the Co-Location room.
  2. For equipment to be moved in and out of the Co-Location room, an application shall be made on the Co-Location User Service System, and they shall be inventoried as requested.
  3. Only the individuals listed in the Taiwan Stock Exchange Corporation Authorized Co-Location Management and Maintenance Staff List may access the TWSE's equipment rooms. No other individuals may access the equipment room unless authorized by the TWSE.
  4. When accessing the Co-Location room, a User's management and maintenance staff are restricted to the routes necessary for them to get to their cabinets and servers and the common areas.
  5. The servers and network devices in the cabinets shall be inventoried periodically as requested.
    The TWSE may prohibit an individual from entering the Co-Location room or ask him/her to immediately leave the room in the event of a violation of the provisions of the preceding paragraph.
Article 22     Well-planned information security protection measures shall be in place and enforced in accordance with the Establishing Information Security Inspection Mechanisms for Securities Firms and Securities Firm Internal Control System Standards in regard to software and/or hardware equipment maintained by the User in the Co-Location room .
    The TWSE may suspend the Services or terminate the contract in the event of a violation of the provisions of the preceding paragraph.
Article 23     Management of Users and maintenance staff's use of the Services shall be governed by the TWSE operational manual and other applicable rules.
    The TWSE may suspend the Services or terminate the contract in the event of a violation of the provisions of the preceding paragraph.
Article 24     For matters not provided for under these Guidelines, other applicable laws and regulations and the applicable TWSE policies and rules, notices, communications, and public announcements shall be referred to.
Article 25     These Guidelines shall be published and implemented upon approval of the General Manager. Subsequent amendments thereto shall be effected in the same manner.