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Article NO. Content

Title：

Regulations Governing Securities Firms  CH

Amended Date： 2025.07.18 (Articles 3, 9, 10, 16, 50, 64, 66 amended,English version coming soon)
Current English version amended on 2025.05.08 
Article Content Chapter Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 36 When a securities broker recommends that a customer trade in a securities, it shall first evaluate the customer's investment ability and that the customer possesses reasonable information and shall not guarantee the value of the recommended securities.<br/>When a securities broker recommends that a customer trade in a securities, if such securities are to be traded on the centralized securities exchange, it shall follow the rules prescribed by the TWSE; if the securities are to be traded on the TPEx, it shall follow the rules prescribed by the same. The above-mentioned rules shall be reported to the FSC for approval.