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