Article NO. Content

Title:

Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers 

Amended Date: 2019.04.16 
Categories: Market Supervision > Regulation of Securities Firms
2     Provisions regarding securities dealers:
  1. A securities dealer's place of business shall be equipped with equipment for competitive bidding for proprietary trading, and the provisions of Part 1, Point 7 may be applied to the same.
  2. A securities dealer that concurrently conducts proprietary securities trading and proprietary futures trading may use the same equipment for both.
  3. The place of business for proprietary securities trading in a securities firm shall be clearly separated from the venue for securities brokerage.
  4. When a place of business is established or relocated, the TWSE shall be notified by letter to dispatch personnel for an on-site inspection. Operations may begin only after inspectors indicate conformance with the standards of the preceding paragraph; when a place of business is downsized or expanded, a report including a floor plan and photographs shall be submitted to the TWSE for approval and recordation.

Relevant Laws: