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友善列印
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Article NO. Content

Title:

Operating Rules of the Taiwan Stock Exchange Corporation  CH

Amended Date: 2020.12.17 (Articles 138 amended,English version coming soon)
Current English version amended on 2020.05.05 
Categories: Basic Laws and Regulations
Article 19     The registration of the personnel of securities firms shall lose its effectiveness if the securities firm discharges or changes his position.
    Where the Competent Authority orders the discharge of registered personnel of securities firms, or the responsible person or associated person of securities firms falls within any of the categories under Article 12, paragraph 3 of the Rules Governing Responsible Persons and Associated Persons of Securities Firms, the TWSE shall cancel their registration.
    When any amendment is made to the registered personnel of a securities firm, the securities firm shall not be relieved of liability for such personnel's behavior until registration of the amendment is completed.
    When a securities firm receives permission for termination of the Market Usage Contract it has entered into, all of its personnel registered with the TWSE shall ipso facto lose their registered status.