Taiwan Stock Exchange - Rules & Regulations Directory

Amended Article


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

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

    A securities firm to relocate its place of business shall submit the following documents to the competent authority through the TWSE to seek approval:
  1. Employee placement plan.
  2. Minutes of consultation meetings between the firm and the trade association or of labor-management meetings (applicable to firms without a trade association).
  3. Other documents required by the competent authority.

    No securities firm may install any information equipment for competitive bidding at any related premises and facilities outside its place of business.

    The sublease of business premises leased and rented by idle assets of a securities firm is governed by the TWSE Directions for the Sublease of Business Premises Leased and Rented by Idle Assets of a Securities Firm.

    In the event that the competent building administration authorities of the county or city declare the place of business of a securities firm to be an unsafe structure or to be 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 TWSE may handle the matter in accordance with Article 5 of the "Taiwan Stock Exchange Corporation Contract for Use of the Centralized Securities Exchange Market."

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory