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Article NO. Content

Title：

Taiwan Stock Exchange Corporation Determination Standards and Handling Procedures for the Avoidance or Refusal of Examinations by 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
3     The securities firm is deemed to avoid or refuse an examination if it:
  1. fails to present account books, trading certificates and other relevant materials during the time period prescribed by the TWSE.
  2. creates an incident on purpose to prevent the examination and review work from proceeding smoothly.
  3. though the incident in the preceding subparagraph is not created purposely allows it to happen despite being able to foresee it or fails to eliminate it despite a chance to do so in its course.