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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 4     To conduct a targeted examination, the TWSE may request the securities firms to submit a review report within the prescribed time. The review report shall include the following matters, be signed and sealed by the responsible person and heads of the relevant finance, sales and audit departments of the securities firm, and attach all of the relevant documents and forms:
  1. Analysis of the causes of any event referred to in the preceding article and an impact evaluation.
  2. Responsibility of the personnel committing the violation.
  3. Improvement plan.
  4. Custodian and locations of articles relating to accounts, documents and properties.
  5. Other matters specified by the competent authority or the TWSE.
    The report referred to in the preceding paragraph shall be submitted to the next board of directors' meeting of the company for discussion and approval within two months, signed by the supervisor(s) and submitted to the TWSE along with the minutes of said board of directors' meeting.