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Article NO. Content


Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants  CH

Amended Date: 2014.05.29 
Article 11     When any of the following circumstances applies with respect to a securities introducing broker, it shall report the matter to the competent authority:
  1. Litigation has resulted due to securities introducing broker business operated or engaged in by the securities introducing broker or any of its directors, supervisors, or employees.
  2. Any of the conditions referred to in Article 53 of the SEA applies with respect to a director, supervisor, or managerial officer.
  3. A director, supervisor, or employee has violated the SEA or an order issued by the competent authority pursuant to the SEA.
  4. Any other matter to be reported as required by the competent authority.
    Matters to be reported pursuant to the preceding paragraph shall be reported to the competent authority by the securities introducing broker through the TWSE within five days from the date of the occurrence of the matter or the date on which it learns of the matter, and notification shall at the same time be provided to the mandating securities firm.