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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 8     Within one month after a routine audit of a securities firm, auditors shall compile an annual audit report with regard to each audit conducted during the auditing period and the circumstances of any guidance.
    "Auditing period" in the preceding paragraph means the period from the date of the securities firm's previous routine audit until the day preceding the current audit. If the securities firm was not audited during the previous year, the one-year period preceding the date of the current audit shall be taken as the auditing period.