Page 30 - 證交所108年報

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3) The TWSE strengthened the negative credit ratings and source of funds qualification inspections of securities brokers' responsible persons and major shareholders to meet the control requirement evaluation of the Financial Action Task Force (FATF).
4) In order to maintain the rights and interests of securities broker employees, when a securities brokers' head office or branches stop operating (including business license revocations) and the securities broker relocates its business premises, they should adhere to the "Employment Placement Plan", consultation meeting minutes between the company and the trade association, or labor-management meeting minutes. This was announced and effective on April 16, 2019.
5) From September 4, 2019, in order for securities brokers to rationally account for eligible regulatory capital, securities brokers are exempt from regulatory capital deductions when declaring an equity-based subsidiary's "financial assets measured at fair value through other comprehensive income", accruing instead to market risk.
6) From September 19, 2019, specific regulations to avoid conflicts of interest were strengthened in regards to securities broker responsible persons who are also responsible persons of other companies, open accounts and trade securities on behalf of other companies.
7) The TWSE cooperated with the competent authority to allow securities brokers to make equity investment in private equity funds, and amended the relevant regulations of securities dealers' equity investment in foreign business, and revised the single window of the securities brokers' declaration of "Securities Brokers Equity Investment Business System". This went online on September 20, 2019.
8) The TWSE completed and launched the "Cooperating with the Ministry of the Interior to promote Aboriginal names and Pinyin Romanization Plan" on September 30, 2019, amending the registration of a single contact window in the securities broker’ declaration, monthly statements, and capital adequacy and name registration functions.
9) From December 27, 2019, multi-faceted authentication mechanisms were allowed, such as a new type of identity recognition for online account opening principal identification methods and trading limit adjustments.