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〔TSE Rules | Management of Securities Firms〕

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1. Ch
2. Operating Rules for Securities Business Money Lending by Securities Firms Ch
3. Operating Rules for Securities Lending by Securities Firms Ch
4. Establishing Information Security Inspection Mechanisms for Securities Firms Ch
5. Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers Ch
6. Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms Ch
7. Taiwan Stock Exchange Corporation Operational Guidelines for Follow-up, Assessment, and Guidance in Regard to Securities Firm Audit Deficiencies Ch
8. Taiwan Stock Exchange Corporation Procedures for Handling Default on Settlement Obligations by Securities Firms Ch
9. Taiwan Stock Exchange Corporation Rules for Suspension or Termination, and Application for Resumption, of Securities Firm Operations Ch
10. Taiwan Stock Exchange Corporation Regulations Governing Applications by Securities Firms for Resumption of Business after Suspension Ch
11. Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms Ch
12. Guidelines for Public Subscription and Private Placement of Securities Ch
13. Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers Ch
14. Corporate Governance Best-Practice Principles for Securities Firms Ch
15. Taiwan Stock Exchange Corporation Operation Procedures for Appeals Filed by Employees of Securities Firms in Disposition Cases Ch
16. Taiwan Stock Exchange Corporation Rules Governing Early Warnings for Overall Operational Risk of Securities Firms Ch
17. Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients Ch
18. Taiwan Stock Exchange Corporation (TWSE) Operation Directions for Direct Market Access by Securities Brokers Ch
19. Taiwan Stock Exchange Corporation Review and Assessment Standards for Internal Control and Internal Audits of Applications by Securities Firms for Conducting Specific Business Operations Ch
20. Directions for Internal Control of Securities Firms Using Modelling in Management Operations Ch
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