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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 6     For any deficiency found in an audit of a securities firm, the TSEC may institute appropriate measures with respect to the securities firm or its affiliated personnel in accordance with relevant regulations, and shall report any violation of the Securities and Exchange Act, or of related laws or regulations, for handling by the competent authority.