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Article NO. Content


Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms  CH

Amended Date: 2002.07.05 
Categories: Market Supervision > Regulation of Securities Firms
Article 2     Audits of the brokering, dealing, and underwriting operations of securities firms by the Taiwan Stock Exchange Corporation (TSEC) are either general or special audits. Such audits shall be undertaken in accordance with these Rules. In matters for which these Rules make no provision, the TSEC's corporate bylaws and other relevant regulations shall govern.