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Amendments

Title：

Taiwan Stock Exchange Corporation Regulations Governing Brokerage Contracts of Securities Brokers  CH

Amended Date： 2023.04.28 
Categories： Basic Laws and Regulations
Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese

Title： Taiwan Stock Exchange Corporation Criteria Governing Consignment Contracts of Securities Brokers(2003.08.15)
Date：
Article 7 　When securities brokers accept consignments, they shall undertake the trades in accordance with the particulars of the letters of consignment and in the order of their serial numbers.
　A principal or principal's agent may give written notice to the securities broker to cancel or reduce the volume of the consigned trade, except where the trade has already been confirmed.
　A principal or principal's agent undertaking consigned trades shall do so at a designated price. provided that they may authorize a securities firm to make a decision on the price and time of order submission on behalf of a domestic institutional investor, offshore juristic person or qualified foreign institutional investor (QFII) within the price limits designated by the given institution, and shall retain a record of the client's authorization and consignment order pursuant to regulations.
　When a principal or principal's agent does not state the period of validity at the time of consignment, the consignment order shall be deemed valid only on the day of consignment. For consignment trades accepted by securities brokers through the Internet or other electronic means of transaction, the period of validity shall be specified; for consignments made over the Internet, the period of validity shall be displayed on the electronic interface where consignment information is entered.