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Regulator Performance Overview
275
46
32
17
0
1
Insurance coverage protecting client deposits and funds
Requirement for client funds to be held separately from company funds
Not available
Not available
Not available
Not specified
Detailed assessment of regulatory capabilities and effectiveness
Detailed breakdown of the 6 key regulatory performance indicators
Value and prestige of licenses issued by this regulator
This regulator shows below average performance with an overall score of 46.
Strongest performance in License Value
Transparency Level: Not available
Global Tier: Not available
Protection against negative account balances in trading
Access to qualified investment professionals and advisory services
Self-regulated
Per local law; typical sanctions
China
Taiwan
Per local law; typical sanctions
Not available
Online portal available (https://www.tpex.org.tw/)
Not available
1:20
Information not available
Contact regulator for details
International Organization of Securities Commissions
Member of the global body that brings together the world's securities regulators
Financial Action Task Force
Member of the inter-governmental body that sets standards for combating money laundering
Effectiveness of regulatory framework and enforcement
Institutional strength and organizational capability
Risk assessment and management protocols
Investor protection measures and safeguards
Client fund protection and insurance coverage
The Taipei Exchange (TPEx) was established as a nonprofit foundation with the following purposes:
1.To manage the OTC trading market and bond markets; and
2.To support the sustainable development of securities trading markets in Taiwan. On November 1, 1994, TPEx was officially established.Over time, TPEx has evolved into a multi-functional, multi-tiered, and multi-trade exchange that connects companies, investors, and policymakers as a dynamic and global capital market in Taiwan.
The OTC securities market in Taiwan began in February 1988, with the Taipei Securities Dealers Association assuming the role of regulator. The goals were to lay the groundwork for a more organized and efficient market.In 1993, to improve the country's financial condition, the Ministry of Finance initiated the process of creating a viable and transparent OTC market based upon a sophisticated market structure. After considerable Research and development, the management of the OTC market was transferred to TPEx, and a more effective and efficient vehicle for capital creation was forged.
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