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Article NO. Content


Regulations Governing Over-the-Counter Trading Enterprises  CH

Announced Date: 2006.06.27 
Article 10     An OTC trading enterprise shall prepare and submit to the competent authority for approval an annual business plan and a budget, three months and two months before the beginning of the fiscal year, respectively, and shall do the same for any amendments thereto. Within 15 days after the end of each quarter, it shall prepare a report on the implementation status of the annual business plan for that quarter, and file it with the Competent Authority for recordation.
    An OTC trading enterprise shall implement the annual business plan and budget approved by the Competent Authority, and draft performance evaluation and assessment rules for its departments and personnel, and submit them, and any amendment thereto, to the Competent Authority for approval.