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Article NO. Content


Taiwan Stock Exchange Corporation Rules Governing Targeted Examinations of and Guidance to Securities Firms  CH

Amended Date: 2014.11.04 
Categories: Market Supervision > Regulation of Securities Firms
Article 11     Any targeted examination, guidance and other measures conducted by the TWSE in accordance with these Rules shall not be deemed assumption by the TWSE of the liabilities or other obligations of the securities firm to its clients or other interested persons. The securities firm and its responsible person or employees shall still be responsible for all of their acts in their performance of duties when the TWSE conducts a targeted examination and guidance measures, without avoiding their responsibilities.
    The securities firm shall inform its clients or other interested persons of the preceding two paragraphs in detail without any misleading acts or statements.