Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Taiwan Stock Exchange Corporation Determination Standards and Handling Procedures for the Avoidance or Refusal of Examinations by Securities Firms 

Amended Date: 2014.11.04 
Categories: Market Supervision > Regulation of Securities Firms
    The securities firm is deemed to avoid or refuse an examination if it:
  1. fails to present account books, trading certificates and other relevant materials during the time period prescribed by the TWSE.
  2. creates an incident on purpose to prevent the examination and review work from proceeding smoothly.
  3. though the incident in the preceding subparagraph is not created purposely allows it to happen despite being able to foresee it or fails to eliminate it despite a chance to do so in its course.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory