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Article NO. Content


Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading  CH

Amended Date: 2015.07.09 
Categories: Market Supervision > Regulation of Securities Firms
Article 3     A securities firm shall differentiate the accounts opened by insiders and other principals, and information on accounts opened shall be compiled and submitted to the Taiwan Stock Exchange Corporation each month. If the brokerage personnel handling a trade learns that a trading order was placed by an insider under another person's name, the personnel shall refuse to accept the trading order and shall notify the manager in charge of brokerage trading.
    When any insider of a securities firm loses his or her insider qualification or status, the insider's account shall be cancelled or converted to an account of an ordinary principal.