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Article NO. Content
Title:
Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers
CH
Amended Date:
2017.11.22
Categories:
Market Supervision > Regulation of Securities Firms
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Legal Basis
Subordinate Legislation
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Chinese
Article 1
These regulations are promulgated pursuant to Article 36, paragraph 2 of the Rules Governing Securities Firms and Article 85, paragraph 3 of the Operating Rules of the Taiwan Stock Exchange Corporation ("this Corporation").
Interpretation:
臺證輔字第 1110501439 號
Relevant Laws:
Operating Rules of the Taiwan Stock Exchange Corporation § 85 (2023.12.05)
Regulations Governing Securities Firms § 36 (2024.03.06)