Abstract
Taiwan stock exchange was formed in 1964 but it is not until 1989 when the stock market reached its highest peak, the impact of stock market on the overall flow of money was felt. Trading has since evolved from broker transaction which dominated the market for the past 40 years, to a client driven online exchange.Security brokerage service is regulated heavily by the Financial Supervisory Commission of the Executive Yuan, largely because of the possible detrimental impact it has on the flow of fund should there be misconduct or fraud. Security trade must follow strict protocols and heavily monitored through a sophisticated IT system by the Executive Yuan to reduce the possibility of human errors.Stock brokerage and so many service oriented businesses have becoming part of our daily life. Good service is therefore the key to business success. This is particularly true when it comes to customer service management with regard to human errors. Businesses must find ways to calm customer’s initial dismay and show genuine concerns, and lead the customer to a path of satisfactory resolution and loyalty retention.The main thrust of this thesis is to discuss the potential impact stock market trading errors have on the governing law, money market, indemnity, and reprimand management using actual cases that occurred in the past. All information are the collective result of authors research from books, periodicals, the internet, interviews, and direct or indirect personal observation as a seasoned professional stock broker. The author hopes to elevate the service quality of the security trading in Taiwan by providing possible strategies and suggestions.