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Article NO. Content


Taiwan Stock Exchange Corporation Rules Governing Early Warnings for Overall Operational Risk of Securities Firms  CH

Amended Date: 2016.09.05 
Categories: Market Supervision > Regulation of Securities Firms
Article 5     Sources of information based on which scores are given as in the preceding article include financial statements regularly submitted by securities firms and statistical data from relevant units. In case of suspension or termination of business or resumption of business for less than a month, the securities firm shall be excluded from the examination of the current period.
    When an early warning is given for the above special risk indexes, the TWSE will notify the GTSM or the Taiwan Securities Association (TWSA).
    Information about the bonds business of dealers of GTSM-traded bonds will be collected and calculated by the GTSM before being summarized and submitted by the TWSE to the Financial Supervisory Commission.