| Organisation |
| Organisation |
Order of the Financial Supervisory Commission |
| Issue No. |
| Issue No. |
Financial-Supervisory-Securities-Firms 1120384569CH
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| Issue Date |
| Issue Date |
2023/12/01 |
| Content |
| Content |
Order of the Financial Supervisory Commission
Issue date: 1 December 2023
Issue no.: Financial-Supervisory-Securities-Firms-1120384569
- For the matters that a securities firm is required to publicly announce or report under the laws and regulations as listed below, the securities firm shall report and transmit the relevant information to the Market Observation Post System website (
https://sii.twse.com.tw):
- Financial reports under Article 21 of the Regulations Governing Securities Firms.
- Regulations Governing the Qualification Requirements and Professional Development of Principal Accounting Officers of Issuers, Securities Firms, and Securities Exchanges.
- After a securities firm has reported and transmitted the relevant information under the provisions of the preceding point, it will be deemed to have duly completed public announcement and reporting, except with respect to financial reports, which shall additionally be submitted in writing to the Financial Supervisory Commission (FSC).
- A public securities firm shall additionally carry out the relevant operations for matters required to be publicly announced or reported by public companies in accordance with FSC Order No. Financial-Supervisory-Securities-Firms-1080361188 issued on 13 January 2020.
- This order is effective from this day forward. The 15 August 2001 Letter No. (90)-Taiwan-Finance-Securities-(2)-003933 (see attached list) of the former Securities and Futures Commission, Ministry of Finance shall, pursuant to the 1 December 2023 Letter No. Financial-Supervisory-Securities-Firms-11203845691 of the FSC, cease to apply from this day forward.
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