Taiwan Stock Exchange - Rules & Regulations Directory
Article NO. Content
The TPEx may send personnel to conduct on-site examination of a securities firm's crowdfunding business. The securities firm may not refuse to provide information or to accept examination by the TPEx. If any deficiency is discovered, the TPEx may carry out follow-up monitoring and assessment, and may issue a letter requiring the securities firm to submit a corrective plan.
When it considers necessary, the TPEx may require the securities firm to engage CPAs or a professional institution designated by the TPEx, to conduct a targeted examination within the examination scope designated by the TPEx, and to submit the results of the examination to the TPEx, and the relevant examination fees shall be borne by the securities firm.