Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
A stock exchange shall pay attention to the monitoring of the operations of finance and business and internal auditing for its members, securities brokers and securities dealers. In case any violation of laws or inappropriate matters is found, a stock exchange shall take proper actions immediately and notify the FSC.
In the event that a stock exchange learns, when engaging in the monitoring described in the preceding paragraph, that there are situations of losses caused by mismanagement or losses resulting in deterioration of credit or sudden events, or material defects in the internal auditing operations for its members, securities brokers or securities dealers, the stock exchange shall conduct a special investigation and give proper assistance.
A stock exchange shall conduct a special investigation in case that any of the members, securities brokers and securities dealers fail to fulfill the delivery obligation and shall guide the successor securities firm to take over its settlement affairs.
Handling procedures and rules of the preceding two paragraphs shall be jointly promulgated by the stock exchange and securities dealers association and filed with the FSC for review and recordation.