Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Rules Governing the Particulars to be Recorded in the Contract for Recommendations by Securities Firms to Customers for Securities Trading 

Amended Date: 2016.05.26 
Categories: Market Supervision > Regulation of Securities Firms
2
    Before signing a recommendation contract with the customer, the securities firm shall first appoint a responsible associated person to explain to the customer the potential risks of securities trading andprovide a period of three days or more for the customer to review the content of all of the terms of the recommendation contract.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw