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A securities firm may adopt the following emergency responses to avoid the normal operation of its business establishments being prevented by the isolation of personnel of such establishments due to a severe communicable disease epidemic:
- Use the existing places of business
- A securities firm with two or more business establishments may use them for mutual backup.
- A securities firm which has devised operational crisis response programs may use a backup business establishment on a priority basis.
- Article 1.7 of the Taiwan Stock Exchange Corporation (TWSE) Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers applies where an existing place of business must use the spare auction equipment on the cloud infrastructure of the centralized market. Article 23-1 of the Taipei Exchange (TPEx) Rules Governing Securities Trading on the TPEx applies where spare (including cloud-based backup) equipment of the TPEx in the market must be used.
- Application for searching another place of business
- For searching a temporary business premise and operating business there separately from the original place of business, an emergency response plan must be submitted to the TWSE or TPEx in advance to apply for approval. The period of use of said premise may not exceed three months. A three-month extension may be applied for if necessary.
- The aforementioned plan shall consist of the address, telephone, staffing, period of use, and operational approach (such as ways of transmitting customer order information or securities dealer trading) etc. of the premise concerned.
- Article 1.7 of the TWSE Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers applies where the new place of business must use the spare auction equipment on the cloud infrastructure of the centralized market; Article 23-1 of the TPEx Rules Governing Securities Trading on the TPEx applies where spare (including cloud-based backup) equipment of the TPEx in the market must be used.
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If any business operated by a securities firm applying for searching for another place of business in accordance with the above provisions involves any authority or duty of another securities related unit, said firm shall make a further application to each responsible unit of such business.
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