Article 10 |
Other than futures commission merchants and futures introducing brokers, user applicants shall not engage in businesses of a futures commission merchant or introducing broker.
Other than the business places of futures commission merchants or clearing members, user applicants shall not set up terminals for competitive bidding at their business premises.
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Article 11 |
For trading information that has been processed with added value, the user applicant shall conspicuously identify its name or a distinct service mark with a notation to the effect and bear all legal responsibilities thereof.
When transmitting or broadcasting trading information, the user applicant shall have adequate software and hardware technology to prevent the information from unauthorized use, theft or being illegally connected to external systems.
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Article 12 |
User applicants shall retain the daily trading information it has transmitted or broadcast for at least three days and make them available upon the query of the TAIFEX at any time.
When simultaneously broadcasting news information, a user applicant shall verify the authenticity of such news, specify its source and basis at the time of broadcast, and bear all legal responsibilities thereof if the news information is untruthful.
When a user applicant discovers any error in trading information transmitted or broadcast, or in news content being simultaneously broadcast, it shall on its own initiative immediately notify the TAIFEX and simultaneously issue a correction to the public.
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Article 13 |
Unless otherwise approved by TAIFEX, a user applicant shall not lease, sell, or transfer the trading information to any other person or relay the trading information in any manner to any other place.
Futures commission merchants, futures introducing brokers, or clearing members shall not relay trading information to places other than their business premises. With the consent of the TAIFEX, however, a futures commission merchant may disseminate real-time information to the users who have opened accounts with it, for non-display usage.
Futures commission merchants, futures introducing brokers, or clearing members who provide trading information over the Internet through websites they operate shall do so in the name of a user applicant approved by the TAIFEX. With the consent of the TAIFEX, however, a futures commission merchant, futures introducing broker, or clearing member may provide trading information under its own name to investors who have opened accounts with it.
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Article 14 |
If the user applicant is a radio/television enterprise, it may, after applying and obtaining the approval of the TAIFEX for a direct connection pursuant to the provisions of Article 8 hereof, play trading information channels produced and supplied by other user applicants.
A user applicant that is a radio/television enterprise that applied for an indirect connection pursuant to the provisions of Article 8 hereof may only broadcast trading information relayed by other authorized user applicants of the TAIFEX.
A user applicant that is a radio/television enterprise may only transmit trading information in the form of sounds, images and pictures, and shall not provide trading information to subscribers for processing added value without the prior consent of the TAIFEX.
If deemed necessary, the TAIFEX may impose restriction on the number of channels, or the program content or items, of trading information broadcasts by a user applicant that is a radio/television enterprise.
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Article 15 |
A user applicant shall report to the TAIFEX in any of the following circumstances within ten (10) days after the fact:
- Change of its representative, responsible person, contact person, business address, telephone and/or fax number;
- Change of the responsible person, address and/or contact telephone number of its equipment room; and
- Other matters as required by the TAIFEX.
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Article 16 |
A user applicant shall prepare and submit to the TAIFEX a list of the equipment to be used and a list of the channels through which trading information will be broadcast. If there is any addition or change thereof, a report shall be submitted to the TAIFEX not later than the seventh (7th) day of each month.
A user applicant which transmits trading information to overseas areas shall prepare and submit a report with respect to the use of information on a quarterly basis (calendar year), and provide more detailed information if so requested by the TAIFEX.
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Article 17 |
The TAIFEX may dispatch its personnel or appointed CPAs to audit the finance and operation of the user applicant, and its accounting books and records, and inspect the premises where the user applicant's information equipment is located and its status of use, to which the user applicant shall not evade or refuse.
User applicants shall submit two copies of CPA-certified annual financial statements of the previous year to the TAIFEX not later than June 30 of each year.
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Article 18 |
A user applicant shall sign a written contract with each subscriber and place the original of such contract at its head office or the business place of its agent in Taiwan. The same shall apply when the user applicant makes use of the services of an agent or distributor.
The user applicant shall submit a copy of the aforesaid contract to the TAIFEX for reference. The contract shall include the subscriber's name (or company name), national ID number (or business administration number (BAN)), telephone number, and place of installation, and shall specify that the subscriber shall comply with the provisions of these Rules as well as the penalty and the civil and criminal liabilities for making unlawful use or the unauthorized relay of the trading information.
Upon the request of the TAIFEX to make a joint inspection of the place of its subscriber, the user applicant shall render cooperation without evasion or refusal.
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