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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Guidelines Governing the Electronic Filing of Financial Statements by Securities Firms  CH

Amended Date: 2019.01.03 
Categories: Market Supervision > Regulation of Securities Firms
3     These Guidelines apply to securities firms in operation but do not apply for the time being to a securities firm concurrently operated by a financial institution, provided the latter securities firm shall seal and file electronically with the TWSE according to the third paragraph of Point 5 the monthly accounting summary and income statement, as well as schedules thereto, of its securities business department. A futures commission merchant concurrently operating securities business shall file the financial information of its securities business department.