Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Regulations Governing Securities Dealers Associations 

Amended Date: 2010.01.06 
Article 21
    The directors, supervisors, or employees of a securities dealers association may not engage in any of the following conducts:
  1. To directly or indirectly engage in securities transactions by using information learned as a result of his or her position.
  2. To disclose any confidential information acquired as a result of his or her position which is not in response to an inquiry undertaken pursuant to laws and regulations.
  3. To do any falsehood, fraud, or other action sufficient to mislead others while engaging in business matters related to securities transactions.
  4. To otherwise violate securities laws and regulations or of any requirement or prohibition set out by the FSC.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory