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Article NO. Content

Title:

Establishing Information Security Inspection Mechanisms for Securities Firms  CH

Amended Date: 2020.02.10 (Articles 9, 12 amended,English version coming soon)
Current English version amended on 2018.11.30 
Categories: Market Supervision > Regulation of Securities Firms
13     Others (CC-22000,semi-annual audit)
  1. Provision of information (CC-22010)
    1. All important laws, regulations, by-laws, and notices shall be promptly posted on a public bulletin board.
    2. The listed company's operating data and prospectus shall be displayed at the securities investment data counter for customer access.
    3. The business hall shall install a Market Observation Post System for customers to operate on their own.
    4. A reading room shall not limit its users and shall not charge fees.
    5. No dedicated bidding terminal may be installed in the reading room.
    6. There shall not be any contract signing with customers for account openings, accepting of commission for the buying and selling of securities, or any other similar securities business in the reading room.
    7. Real time stock market trading data posted on the website shall be provided by a data company that has entered into a contract with the Taiwan Stock Exchange Corporation.
    8. Information provided to the public on the website shall be inspected regularly. Information that is confidential or sensitive shall be promptly removed. The Rules Governing Securities Firms Recommending Trades in Securities to Customers shall be followed, and no information that falls under the scope of a securities investment consulting enterprise may be made public in the name of the company on behalf of such enterprise.
    9. Securities firmsmaking recommendations on anonline platform shall set up a password in order to control customers with access to the research reports on each stock. Customers shall sign a contract for recommendations with the securities firms (investors of domestic and foreign institutionsare exempted).

Interpretation: