Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Regulations Governing Securities Dealers Associations 

Amended Date: 2010.01.06 
Article 7
    A securities dealers association shall be attentive to and inspect the financial conditions and operational situations of its members; and when violations of laws, regulations, or self-regulatory rules are discovered, it shall appropriately deal with such cases, and report to the FSC.
    The rules for inspections under the preceding paragraph shall be drafted by the securities dealers association and reported to the FSC for recordation.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory