TWSE enhances service quality to securities firms
Taiwan News, Staff Writer
2014-08-28 02:47 PM

In order to enhance service quality to securities firms and engage in two-way communication with operators to obtain recommendations and build a consensus, the Taiwan Stock Exchange (TWSE) held a one-to-one securities firms wealth management (trust), warrants, international securities business, financial affairs and internal audit services and supervision of overseas subsidiaries management forum for 2014 to facilitate the smooth future implementation of various business.

The TWSE had already invited internal audit and financial affairs managers from 81 securities firms to participate in face-to-face forums in 2013 and 2012 to exchange views on related issues such as business, internal audit, IFRS, financial affairs, and warrants. These forums received positive comments from securities firm attendees. In order to achieve further in-depth understanding of the operations of securities firms’ overseas subsidiaries, the TWSE has once again invited relevant business managers from the 16 securities firms with overseas subsidiaries to participate in a face-to-face forum in Q3 2014. In addition to issues such as financial affairs, internal audit, warrants m and overseas subsidiary operations, views were exchanged regarding problems encountered when operating key promotional items such as current wealth management (trust) business, and international securities business in conjunction with regulatory authority deregulation and market liberalization.

As of August 25, 2014, eight forums have been successively held. Through each session’s one securities firm discussion method, securities firm attendees were able to enthusiastically propose various suggestions and the TWSE was able to fully understand what current situations securities firms need to overcome to provide specific assistance or handling suggestions. After classification, attending securities firms proposed 68 suggestions in 10 major categories. The TWSE will analyze and deliberate each issue and provide results to relevant responsible agencies for consideration in hopes of creating positive benefits for the promotion of securities business.

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