Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants 

Amended Date: 2014.05.29 
Article 3
    Securities introducing brokers accept mandates from securities firms to engage in the following types of business:
  1. Soliciting securities trading business from securities investors.
  2. Acting on a securities firm's behalf to open accounts for securities investors.
  3. Accepting securities trading orders from securities investors and delivering the orders to a securities firm for execution.
  4. Acting on a securities firm's behalf to notify securities investors to settle securities transactions.
  5. Other related business approved by the competent authority.

Interpretation:

Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw