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Article NO. Content


Regulations Governing Over-the-Counter Trading Enterprises  CH

Announced Date: 2006.06.27 
Article 19     An OTC trading enterprise shall establish a surveillance system for the OTC securities trading market, and draft rules therefor and submit them, and any amendment thereto, to the FSC for ratification.
    Whenever necessary for the market surveillance of the preceding paragraph, an OTC trading enterprise may make inquiries of a securities firm trading over the counter or of a securities-issuing company, and may requisition and inspect relevant data, or notify such firm or company to submit written statements, and they may not refuse to do so.