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〔TSE Rules|Management of Securities Firms〕

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ITEMLAW NAME
1. Taiwan Stock Exchange Corporation Standards Governing the Places of Business and Facilities of Securities Firms and Securities Introducing Brokers
2. Taiwan Stock Exchange Corporation Operational Rules for Audits of Securities Firms
3. Taiwan Stock Exchange Corporation Operational Guidelines for Follow-up, Assessment, and Guidance in Regard to Securities Firm Audit Deficiencies
4. Taiwan Stock Exchange Corporation Procedures for Handling Default on Settlement Obligations by Securities Firms
5. Taiwan Stock Exchange Corporation Rules for Suspension or Termination, and Application for Resumption, of Securities Firm Operations
6. Taiwan Stock Exchange Corporation Regulations Governing Applications by Securities Firms for Resumption of Business after Suspension
7. Taiwan Stock Exchange Corporation Procedures for Merger or Assignment of Operations of Securities Firms
8. Operating Rules for Securities Business Money Lending by Securities Firms
9. Operating Rules for Securities Lending by Securities Firms
10. Guidelines for Public Subscription and Private Placement of Securities
11. Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers
12. Corporate Governance Best-Practice Principles for Securities Firms
13. Taiwan Stock Exchange Operating Procedures for the Handling of an Appeal by a Securities Firm or Securities Firm Employee Against an Enforcement Action on a Deficiency Identified in an Audit
14. Taiwan Stock Exchange Corporation Operation Procedures for Appeals Filed by Employees of Securities Firms in Disposition Cases
15. Taiwan Stock Exchange Corporation Rules Governing Early Warnings for Overall Operational Risk of Securities Firms
16. Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients
17. Taiwan Stock Exchange Corporation (TWSE) Operation Directions for Direct Market Access by Securities Brokers
18. Taiwan Stock Exchange Corporation Review and Assessment Standards for Internal Control and Internal Audits of Applications by Securities Firms for Conducting Specific Business Operations
19. Directions for Internal Control of Securities Firms Using Modelling in Management Operations
20. Table of Mandatory Preservation Periods for Accounts, Statements, Vouchers, and Certificates of Securities Firms
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