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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 7     Follow-up, assessment, and guidance shall be undertaken when a general audit of a securities firm leads to discovery of a deficiency in its finances or operations or when its internal auditing procedures are rated substandard. Rules governing follow-up, assessment, and guidance shall be separately adopted.