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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers  CH

Amended Date: 2019.04.16 
Categories: Market Supervision > Regulation of Securities Firms
3     Provisions regarding cross-selling and cooperative promotions by a securities firm:
    A securities firm that satisfies the conditions prescribed by the competent authority shall clearly indicate the name and services of each company concerned that provides cross-selling services when engaging in cross-selling and cooperative promotion at its place of business.
    Where a securities firm sets up a cross-selling or cooperative promotion services section at the place of business of another enterprise, it shall conform to the competent authority of such other enterprise and additionally make a report to the TWSE in advance pursuant to Part 1, Point 4 (2). In the event of any change or withdrawal, the securities firm shall report to the TWSE for recordation within 15 business days after the change or withdrawal.