Article NO. Content


Regulations Governing Securities Dealers Associations 

Amended Date: 2010.01.06 
Article 8     When conducting inspections under the previous article, in cases where the securities dealers association discovers that a member is being badly run, has suffered losses to the extent that it becomes difficult to maintain its creditworthiness, or has experienced any serious incident, or has the likelihood that the trading order and investment security are severely affected, the securities dealers association shall promptly initiate a special examination and provide advice, such procedures shall be drafted by the securities dealers association and reported to the FSC for recordation.