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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: 2023.12.29 (Articles 3, 3-3, 7, 11, 12, 14, 18, 20 amended,English version coming soon)
Current English version amended on 2022.10.19 
Categories: Market Supervision > Regulation of Securities Firms
Content Article In Change8. Article 9 amended per 19 October 2022 Letter No. Taiwan-Stock-Intermediaries-1110020589 of the Taiwan Stock Exchange; for immediate implementation
Approved per 14 October 2022 Letter No. Financial-Supervisory-Securities-Firms-1110359120 of the Financial Supervisory Commission
Content Article In Change 7. Articles 4, 10~12, 14, and 15 amended, and Articles 3-1 and 3-2 added, per 5 September 2022 Letter No. Taiwan-Stock-Intermediaries-1110016644 of the Taiwan Stock Exchange; for immediate implementation
Approved per 19 August 2022 Letter No. Financial-Supervisory-Securities-Firms-1110141255 of the Financial Supervisory Commission
Content Article In Change 6. Article 9 amended per 20 April 2021 Letter No. Taiwan-Stock-Intermediaries-1100006788 of the Taiwan Stock Exchange; for immediate implementation
Approved per 16 April 2021 Letter No. Financial-Supervisory-Securities-Firms-1100339050 of the Financial Supervisory Commission
Content Article In Change 5. Articles 2, 12, 15 and 22 amended per 27 May 2020 Letter No. Taiwan-Stock-Intermediaries-1090008994 of the Taiwan Stock Exchange; for immediate implementation
Approved per 25 May 2020 Letter No. Financial-Supervisory-Securities-Firms-1090342308 of the Financial Supervisory Commission
Content Article In Change 4. 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