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〔Securities Rules and Regulations | Securities Exchange | Governing Securities Firms〕

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ITEM LAW NAME
1. Operating Rules for Securities Business Money Lending by Securities Firms Ch
2. Operating Rules for Securities Lending by Securities Firms Ch
3. Establishing Information Security Inspection Mechanisms for Securities Firms Ch
4. Standards Governing the Establishment of Securities Firms Ch
5. Regulations Governing Securities Firms Ch
6. Regulations Governing Responsible Persons and Associated Persons of Securities Firms Ch
7. Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants Ch
8. Regulations Governing the Preparation of Financial Reports by Securities Firms Ch
9. Regulations Governing Establishment of Subsidiaries and Branches in Hong Kong and Macao by Taiwanese Securities or Futures Institutions Ch
10. Regulations Governing Securities Trading on the Taipei Exchange Ch
11. Regulations Governing Borrowing or Lending Money in Connection with Securities Business by Securities Firms Ch
12. Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers Ch
13. Regulations Governing Securities Borrowing and Lending by Securities Firms Ch
14. Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers Ch
15. Directions for the Conduct of Wealth Management Business by Securities Firms Ch
16. Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms Ch
17. Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading Ch
18. Corporate Governance Best-Practice Principles for Securities Firms Ch
19. Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers Ch
20. Taiwan Stock Exchange Corporation Rules for Suspension or Termination, and Application for Resumption, of Securities Firm Operations Ch
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