|
Article 6
|
Unless otherwise provided by law or regulation, a securities firm shall adopt an internal control system pursuant to the Standard Directions for the Internal Control Systems of Securities Firms adopted by the TPEx.<br/>The conduct of the business of a securities firm shall comply with laws and regulations, its articles of incorporation, and the internal control system referred to in the preceding paragraph.<br/>Whenever the TPEx gives notice to make any change to the internal control system referred to in paragraph 1, the change shall be made within the specified time limit.
|