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〔TSE Rules | Management of Securities Firms〕

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1. Taiwan Stock Exchange Corporation Guidelines Governing the Electronic Filing of Financial Statements by Securities Firms Ch
2. Corporate Governance Best-Practice Principles for Securities Firms Ch
3. Rules Governing the Particulars to be Recorded in the Contract for Recommendations by Securities Firms to Customers for Securities Trading Ch
4. Operating Rules for Securities Business Money Lending by Securities Firms Ch
5. Operating Rules for Securities Lending by Securities Firms Ch
6. Guidelines for Handling Defects in Filing of Supervisory Information by Securities Firms Ch
7. Guidelines for Securities Firms to Allow Investors to Create Trading Conditions on Placing Orders Ch
8. Establishing Information Security Inspection Mechanisms for Securities Firms Ch
9. Stewardship Principles for Institutional Investors Ch
10. Measures for Search for Other Places of Business by Securities Firms in Response to Severe Communicable Diseases Ch
11. Operating Rules for Securities Firms Handling Non-Restricted Purpose Loan Ch
12. Reference Guidelines on the Supply Chain Risk Management of Service Enterprises in Securities and Futures Markets Ch
13. Directions on Information and Communication Security Management and Control of New Technologies for Associations of Securities and Futures Market Ch
14. Reference Guidelines on the Protection of the Information and Communication Systems of Service Enterprises in Securities and Futures Markets Ch
15. Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms Ch
16. Taiwan Stock Exchange Corporation Operational Guidelines for Follow-up, Assessment, and Guidance in Regard to Securities Firm Audit Deficiencies Ch
17. Taiwan Stock Exchange Corporation Procedures for Handling Default on Settlement Obligations by Securities Firms Ch
18. Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms Ch
19. Guidelines for Public Subscription and Private Placement of Securities Ch
20. Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers Ch
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