Chapter II Risk Management by Securities Brokers |
| Article 4 | The securities broker may collect funds or securities in advance from the principal in full or in a certain percentage as the circumstances merit.
The Operational Directions for Advance Collection of Funds and Securities by Securities Brokers in Brokerage Trading shall apply mutatis mutandis to the operations for the advance collection of funds and securities under the preceding paragraph.
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| Article 5 | The securities broker shall, after the closing of the market each business day, assess whether to increase, or decrease, a principal's single-day trading limit or day trading limit, based on the principal's profit or loss following day trading.
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| Article 6 | If the principal's cumulative loss from day trading of the preceding month reaches half of the single-day trading limit or day trading limit, the securities broker shall suspend day trading by the principal. The securities broker shall reassess the principal's single-day trading limit or the day trading limit after the principal has submitted proof of adequate financial capability, unless the principal is a professional institutional investor.
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