Article NO. Content


Regulations Governing Stock Exchanges 

Amended Date: 2012.07.11 
Article 46     Managers and associated persons shall not engage in the following conducts:
  1. Directly or indirectly engaging in buying and selling listed securities with the information learned from their performance of duty.
  2. In response to an inquiry not made pursuant to the laws and regulations, and revealing confidential information learned from their performance of duty.
  3. Being a creditor or debtor in a monetary or securities loan with business related persons.
  4. Demanding, agreeing to accept or accepting improper benefits for an official act or for a breach of one's official duties.
  5. Not withdrawing in the event that the performance of duty involves conflict of interest.
  6. When engaging in the listing, transaction, settlement, clearing or custody of securities, there being any fraud, deception or any misleading conducts.
  7. Any other conduct which is against the securities laws and regulations or the rules of the FSC.
    The directors, supervisors, members of each committee or persons of the equivalent level of a stock exchange shall not engage in the conducts as referred to in subparagraphs 1 to 5 and subparagraph 7 of the preceding paragraph.