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Amendments

Title：

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

Amended Date： 2025.07.14 
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 Regulations Governing Brokerage Contracts of Securities Brokers(2024.05.24)
Date：
Article 17 After confirmation and settlement of a trading order, a securities broker shall immediately deliver the securities purchased to the principal, or transfer the prices of the securities sold to the depository account of the principal in the designated financial institution in accordance with Article 13, unless the client agrees to leave the settlement money in the securities firm’s settlement account. For trades that are not confirmed, securities already received shall be immediately returned to the principal. A securities broker may agree with a custodian institution on the receipt and payment of prices in the net offset amount in regard to same-day monetary settlement of securities trades.
A securities firm receiving or delivering the principal's securities or funds shall keep precise records and retain vouchers of receipt or delivery.