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Article NO. Content

Title：

Taiwan Stock Exchange Corporation Rules Governing the Targeted Examination and Handling of Defaults on Settlement Obligations by Securities Firms  CH

Amended Date： 2002.07.05 
Categories： Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 5     When a securities firm breaches its settlement obligations, in addition to halting trading of its dealing or brokerage business pursuant to Article 142 of the Operating Rules of the TWSE (the "TWSE Rules"), the TWSE shall conduct targeted examination to ascertain the following matters:
  1. The reason(s) of the breach of settlement obligations.
  2. The financial status of said securities firm.
  3. The settlement situation between said securities firm and its clients.
  4. Whether the responsible person and the employees have violated any laws and regulations.

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