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

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