| 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.
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.
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.
|
|