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Article NO. Content


Regulations Governing Securities Dealers Associations  CH

Amended Date: 2010.01.06 
Article 3     In addition to the items required under Article 11 of the Commercial Group Act, the items to be specified in a securities dealers association's articles of association shall include the following:
  1. Matters regarding preservation of order and fairness in securities trading and protection of investors.
  2. Matters regarding the prevention of fraud, market manipulation, collection of improper processing fees or expenses, and other matters regarding the acquisition of undue profits.
  3. Matters regarding providing assistance in the implementation of, research in, and recommendation for the government's economic policies and the Securities and Exchange Act.
  4. Matters regarding the testing, registration, training, and administration of the associated persons of a securities firm.
  5. Matters regarding the promotion of self-regulation among members, for joint efforts to improve business operations, and for communication and coordination among members.
  6. Matters regarding the mediation or arbitration of business disputes between members.
  7. Matters regarding the imposition of sanctions on members that have violated the Act, other relevant laws or regulations, or the articles of incorporation, rules, or self-regulatory rules of the securities dealers associations, or related operational self-regulatory rules, or resolutions of the general meeting or the board of directors.
  8. Other matters required by the Financial Supervisory Commission, Executive Yuan (FSC).
    The adoption or amendment of the articles of incorporation under the preceding paragraph shall, after being passed by the general meeting of the securities dealers association, be promptly reported to the FSC for approval.