Chapter III Rules Governing Underlying Investments |
| Article 20 | Where performance of the Services by the securities firm requires consent of the beneficiary of the funds pursuant to law that exceeds the scope of the client's authorization under the agreement with respect to the Services, the securities firm shall separately obtain the client's written consent.
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| Article 21 | The securities firm shall establish the method as to how evidence, records or documents such as transaction confirmations, account statements and relevant notices sent from the fund companies shall be kept as part of its internal control system, and regularly check the balance of beneficiary units transacted with the funds in the Investment Account against the number of beneficiary units in inventory and keep a written confirmation.
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| Article 22 | The total amount of funds in the Investment Account the securities firm uses in transactions with companies in which the securities firm has a stake shall not exceed NTD 5 billion or fifty percent of the sum of the used funds, whichever is higher.
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