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Laws

Title:

Operation Directions for the Advance Collection of Funds and Securities by Securities Brokers in Brokerage Trading  CH

Announced Date: 1911.00.00
Amended Date: 2017.11.15 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change11. Article 1 amended per 15 November 2017 Public Announcement No. Taiwan-Stock-Trading-1060020022 of the Taiwan Stock Exchange Corporation, for implementation from 18 December 2017
Approved per 20 October 2017 Letter No. Financial-Supervisory-Securities-Firms-1060036154 of the Financial Supervisory Commission
Content Article In Change 10. Articles 2 and 4 amended and promulgated per 4 June 2015 Taiwan-Stock-Intermediaries-1040502091 of the Taiwan Stock Exchange Corporation, for implementation from the date of public announcement
Approved per 28 May 2015 Letter No. Financial-Supervisory-Securities-Firms-1040013149 of the Financial Supervisory Commission
Content Article In Change 9.Article 1 amended per 27 February 2014 Letter No. Taiwan-Stock-Trading-1030201386 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Per 21 February 2014 Letter No. Financial-Supervisory-Securities-Trading-1030003028 of the Financial Supervisory Commission
8.Article 1, 3, 4 amended per 7 October 2010 Letter No. Taiwan-Stock-Trading-0990029979 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Per 5 October 2000 Letter No. Financial-Supervisory-Securities-Firms-0990040740 of the Financial Supervisory Commission, Executive Yuan
7.Full text of four articles amended per 2 March 2010 Letter No. Taiwan-Stock-Trading-0990004888 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Per 23 February 2000 Letter No. Financial-Supervisory-Securities-Firms-0980070364 of the Financial Supervisory Commission, Executive Yuan
6.Article 1 and the attachment of Article 2 amended per 1 April 2009 Letter No. Taiwan-Stock-Trading-0980006450 of the Taiwan Stock Exchange Corporation; for implementation from the date of issuance
Per 30 March 2009 Letter No. Financial-Supervisory-Securities-II-0980006813 of the Financial Supervisory Commission, Executive Yuan
5.The title and Article 1 amended per 31 October 2000 Letter No. (89)Taiwan-Stock-Trading-031383 of the Taiwan Stock Exchange Corporation, for implementation from the date of issuance (original title: Directions for Trading in Full-Cash Delivery Stock by Securities Brokers in Brokerage Trading)
Approved for recordation 24 October 2000 per Letter No. Taiwan-Finance-Securities-(III)-86379 of the Securities and Futures Commission, Ministry of Finance
4.Amended per 4 October 1991 Letter No. (80)Taiwan-Stock-Trading-18959 of the Taiwan Stock Exchange Corporation, for implementation from the date of issuance
Approved for amendment 27 September 1991 per Letter No. (80) Taiwan-Finance-Securities-(II)-24916 of the Securities Commission, Ministry of Finance
3.Amended per 29 July 1989 Letter No. (78)Taiwan-Stock-Trading-5113 of the Taiwan Stock Exchange Corporation, for implementation from the date of issuance
Approved for amendment 15 July 1989 per Letter No. (78) Taiwan-Finance-Securities-(IV)-11376 of the Securities Commission, Ministry of Finance
2.Amended per 9 March 1989 Letter No. (78)Taiwan-Stock-Trading-1086 of the Taiwan Stock Exchange Corporation, for implementation from the date of issuance
Approved for amendment 18 February 1989 per Letter No. (78) Taiwan-Finance-Securities-(II)-5022 of the Securities Commission, Ministry of Finance
1.