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Article NO. Content


Guidelines for Handling Defects in Filing of Supervisory Information by Securities Firms  CH

Announced Date: 2020.04.06 
Categories: Market Supervision > Regulation of Securities Firms
1     Basis and purpose
    As required by Article 4, paragraph 1, subparagraph 5, and Article 21 of the Regulations Governing Securities Firms, Article 26 of the Operating Rules of the Taiwan Stock Exchange Corporation (TWSE), and the Guidelines Governing the Electronic Filing of Financial Statements by Securities Firms, a securities firm shall file information about its financial and business matters to the TWSE. These Guidelines are established specifically to improve accuracy and timeliness of information filed by securities firms and to provide objective standards to be applied by the TWSE in the determination and handling of defects in the filing by securities firms.