Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
The TWSE may provide the following guidance for a securities firms after a targeted examination:
- Request the securities firm to adopt an improvement plan in accordance with Paragraph 3 of the preceding article, submit said plan to the TWSE for recordation, and periodically report to the TWSE the implementation progress.
- Request at any time the securities firm to re-examine its improvement plan and make further amendments based on the implementation result of the plan.
- Invite the responsible person and relevant department heads of the securities firm to discussions of improvement measures based on the implementation result of the plan, when necessary.
- Other necessary guidance measures.
- Taiwan Stock Exchange Corporation Rules Governing Targeted Examinations of and Guidance to Securities Firms § 3 (2014.11.04)