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Article NO. Content

Title：

Taipei Exchange Regulations Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms  CH

Amended Date： 2024.04.16 (Articles 41-1 amended,English version coming soon)
Current English version amended on 2022.07.14 
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 43     A securities firm shall complete the amendments to its internal control and auditing systems prior to any application to engage in the business of OTC trading of financial derivatives. The relevant control and auditing measures will be separately prescribed by the TPEx.