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Laws

Title:

Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts  CH

Announced Date: 2015.06.04
Amended Date: 2020.05.27 (Articles 2, 12, 15, 22 amended,English version coming soon)
Current English version amended on 2017.12.25 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change4. Article 3 amended per 25 December 2017 Letter No. Taiwan-Stock-Intermediaries-1060024529 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 22 December 2017 Letter No. Financial-Supervisory-Securities-Firms-1060047399 of the Financial Supervisory Commission
Content Article In Change 3. Article 12 amended per 7 August 2017 Letter No. Taiwan-Stock-Intermediaries-1060502926 of the Taiwan Stock Exchange Corporation; for immediate implementation
Approved per 2 August 2017 Letter No. Financial-Supervisory-Securities-Firms-1060028331 of the Financial Supervisory Commission
Content Article In Change 2. Articles 3, 7, 9, 11, 15, 18 and 20 amended per 14 July 2016 Letter No. Taiwan-Stock-Intermediaries-1050502852 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Amended and promulgated per 21 July 2016 Public Announcement No. Securities-GTSM-Trading-10500197662 of the Taipei Exchange, for implementation from 14 July 2016
Approved per 6 July 2016 Letter No. Financial-Supervisory-Securities-Firms-1050025346 of the Financial Supervisory Commission
Content 1. Full text of 23 articles established and promulgated per 4 June 2015 Letter No. Taiwan-Stock-Intermediaries-1040502091 of the Taiwan Stock Exchange Corporation; for implementation from the date of public announcement
Established and promulgated per 10 June 2015 Public Announcement No. Securities-GTSM-Trading-10400143041 of the Taipei Exchange
Approved per 28 May 2015 Letter No. Taiwan-Finance-Securities-1040013149 of the Financial Supervisory Commission