Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Operation Directions for Inquiries of Customer Data by Employees of Securities Firms 

Announced Date: 2011.06.24 
Categories: Market Supervision > Regulation of Securities Firms
6
    The securities firm shall establish an audit system for customer data files, and the auditors shall audit the management of customer data files on a periodic or aperiodic basis.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw