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Article NO. Content

Title：

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 Content Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 7     The TWSE may provide the following guidance for a securities firms after a targeted examination:
  1. Request the securities firm to adopt an improvement plan in accordance with Paragraph 3 of the preceding article, submit said plan to the TWSE for recordation, and periodically report to the TWSE the implementation progress.
  2. Request at any time the securities firm to re-examine its improvement plan and make further amendments based on the implementation result of the plan.
  3. Invite the responsible person and relevant department heads of the securities firm to discussions of improvement measures based on the implementation result of the plan, when necessary.
  4. Other necessary guidance measures.

Relevant Laws：