Regulations Governing Securities Dealers Associations Article 7
A securities dealers association shall be attentive to and inspect the financial conditions and operational situations of its members; and when violations of laws, regulations, or self-regulatory rules are discovered, it shall appropriately deal with such cases, and report to the FSC.The rules for inspections under the preceding paragraph shall be drafted by the securities dealers association and reported to the FSC for recordation.
中文原文 證券商同業公會業務管理規則第7條
證券商同業公會應注意查察其會員之財務業務情形；發現有違反法令或自律規範者，應即為適當處置，並通知本會。
前項查察辦法，由證券商同業公會訂定，申報本會備查。
前項查察辦法，由證券商同業公會訂定，申報本會備查。