Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
Provisions regarding securities dealers:
- A securities dealer's place of business shall be equipped with equipment for competitive bidding for proprietary trading, and the provisions of Part 1, Point 7 may be applied to the same.
- A securities dealer that concurrently conducts proprietary securities trading and proprietary futures trading may use the same equipment for both.
- The place of business for proprietary securities trading in a securities firm shall be clearly separated from the venue for securities brokerage.
- When a place of business is established or relocated, the TWSE shall be notified by letter to dispatch personnel for an on-site inspection. Operations may begin only after inspectors indicate conformance with the standards of the preceding paragraph; when a place of business is downsized or expanded, a report including a floor plan and photographs shall be submitted to the TWSE for approval and recordation.
- Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers § 1 (2019.04.16)