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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Rules for Administration of the Joint Responsibility System Clearing and Settlement Fund  CH

Amended Date: 2012.01.11 
Categories: Securities Exchange Market > Clearing and Settlement
Article 6     Duties of the Committee are as follows:
  1. Keep track of the custody and use of the Fund.
  2. Requisition and review data related to the finances and business of securities firms.
  3. Requisition, review, and audit data on securities firms' financial operations and related data obtained through the surveillance system, for which purposes, representatives from related TWSE departments and offices shall make themselves available as nonvoting participants at Committee meetings to answer questions and give explanations.
  4. As merited by the findings of the requisitioning and review under the preceding two subparagraphs, the Committee may take the following measures:
    1. Request that the TWSE dispatch personnel to audit the finances and business of a specific securities firm.
    2. Require a securities firm to make additional deposits to the Fund, for which the specific rules shall be separately submitted for the Competent Authority's approval.
    3. Adjust, pursuant to TWSE rules, the trading amounts or limits that a specific firm may quote, or restrict, halt, or resume trading by the securities firm.
    4. Review matters such as recovery and reimbursement of funds of the Fund.