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The Taiwan Futures Exchange Corporation (TAIFEX) audit procedures for guarding against evasion of inspection by information companies and their subscribers and assignment of points for failure by information companies to cooperate with TAIFEX audits:
- The TAIFEX inspector inspects transmission lines in equipment rooms to see whether they are extended to the neighboring or other floors.
The equipment room personnel refuse to cooperate with the TAIFEX in inspecting the source of the transmission lines. 3 points
Where it is, for any reason, impossible to inspect the sources of the transmission lines, and the equipment room personnel are either unwilling to present written explanations as to the uses of the transmission lines or to disconnect such lines per request by the TAIFEX. 3 points
- Upon discovering any modem light indicating an irregularity during his or her audit visit to the equipment room, the dispatched inspector promptly requests the equipment room personnel to cut off the connection of the modem indicating irregularity.
The equipment room personnel do not cut off the connection until the close of market. 2 points
The equipment room personnel agree to cut off the connection only from the next day or later. 3 points
The equipment room personnel are willing to cut off the connection only on certain conditions. 2 points
The equipment room personnel are unwilling to cut off the connection. 3 points
- It is discovered during an audit that a modem is in operation that has no mark affixed thereupon to indicate the subscriber's identity.
The equipment room personnel explain, without any supporting written records as evidence, that the subscriber has a line failure so that the line in question is used in lieu. 1 point
- Upon arriving at the equipment room on the audit day:
- The TAIFEX inspector has contacted the head office of the information company to report that the person in charge of the equipment room or his/her deputy, as registered with the TAIFEX, is absent and other persons there do not allow the inspector to enter.
- The TAIFEX inspector has contacted the head office of the information company to report that no one answers the door.
- The TAIFEX inspector has contacted the head office of the information company to inform it of the happening of either of the above.
The inspector is not allowed inside until 20 minutes before the close of market. 2 points
The inspector is not allowed inside before the close of market.
5 points
The head office responds that it will cooperate, but the inspector is still not allowed inside before the close of market. 3 points
The head office makes no response, and the inspector is not able to enter the equipment room for inspection before the close of market that day.
Deemed as refusal of inspection
- It is discovered during an audit that the information company shows signs of irregular operation, and the person in charge of the equipment room or his/her deputy is asked to provide a written explanation.
Inability to provide the written explanation on that day. 3 points
Refusal to provide the written explanation. (Failure to provide the written explanation on the same day without legitimate reason is deemed refusal to provide.) 5 points
- An audit finds that any of the following circumstances applies to an information subscriber, and the information company is asked to provide written explanations or to proceed to the site to explain:
- The TAIFEX information is being relayed elsewhere.
- The trading information equipment has been modified to expand its functions and uses.
- The volume of information equipment actually in use is inconsistent with the volume registered with the information company.
- The information equipment is installed at an address different from the registered address.
The information company is unwilling to provide explanations.
2 points
The information company is unwilling to proceed to the site to explain. 3 points
- During an audit visit to the premises of a subscriber, the TAIFEX inspector is unable to determine whether the line of a subscriber is in, because no one answers the door or the subscriber has moved elsewhere. Upon contacting the equipment room, such inspector knows that the subscriber's modem is still networked and in operation. To trace the status of use by the subscriber, he/she promptly requests the equipment room to cut off the connection temporarily.
The information company is not able to immediately cooperate with the TAIFEX in cutting off the subscriber's connection temporarily. 3 points
The information company is unable to provide an explanation of the status of use by the subscriber. 2 points
- During an inspector's audit visit to the premises of a subscriber, the subscriber refuses to accept inspection and promptly requests the information company to temporarily cut off the user's modem connection.
The information company does not cooperate in the disposition rendered by the TAIFEX. 3 points
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Once an information company has accumulated 20 points by the standards set out in the preceding item for failure to cooperate in audits by the TAIFEX, a disposition shall be rendered by applying the provisions of the TAIFEX Rules Governing the Use of Trading Information regarding determination of violations of rules regarding evasion of inspections.
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