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Taiwan Stock Exchange Corporations Directions for Securities Brokers Preparing Trading Order Records Using the Internet or Other Electronic Means of Trading  CH

Amended Date: 2000.08.11
1     The securities broker accepting a trading order placed by a customer via the Internet or other electronic means of trading will have the customer key in the content of the order, which will then be verified by the securities broker's computer server automatically. In the event of irregularities found in the order, the processing person (a senior associated person or associated person) shall review the order. If no errors occur, the order records shall be printed chronologically, and signed by the processing person and the department chief upon the closing of the market,. The order records shall contain the name and account of the principal, the time the order was placed, the type of securities, number of shares or par value, quoted price, period of validity, name or code of the associated person, and order method etc. Records of orders placed via the Internet shall contain the IP (Internet Protocol) address and the digital signature; where an order is placed via voice-mail, the caller-end number display function enabled by the telecommunications institution shall be used to record the telephone number of the incoming call. The abovementioned items need not be printed out in the event of real-time printing of the record; as with other means of ordering, such order to be transmitted to the TWSE shall include the transmission time and serial number. The above records and computer files of orders shall be retained for at least five years if no trading dispute occurs; in the event of a dispute, the records and computer files shall be retained until the dispute is resolved.
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2     There shall be no skipped, omitted or repeated serial numbers in the above serial numbers of orders generated by the securities broker.
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