| Title： |
Operating Rules of the Taiwan Stock Exchange Corporation(2004.07.09) |
| Date： |
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Article 94
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A securities broker that has concluded the transaction that has been consigned to it may collect handling charges from its principals. The fee schedule shall be formulated by this Corporation and approved by the Competent Authority.
A securities broker may establish its fee (or discount) schedule for securities transaction to the extent not exceeding the ceiling of a certain percentage of the approved trading amount of its customers, and shall report to this Corporation for record before implementing such fee (or discount) schedule. Subsequent amendment to the fee (discount) schedule shall be effected in the same manner. With respect to the fee (or discount) schedule established by a securities broker, the securities broker may collect the handling charges based on a specified fee rate and make settlement based on a certain period of time (monthly, weekly, etc.) Any amount refundable or deductible shall be transferred to the settlement account of the customers and specified in the monthly statement delivered to the customers and monthly statistic statement submitted to this Corporation. A securities broker shall not pay all or a part of the handling charges received by it to introducing persons related to the trading as their remunerati on.
A securities broker shall not pay, in whole or in part, any handling fee receivable by it to any introducing person related to the trading as their remuneration; provided, this restriction shall not apply where it is paid under a contract to a foreign financial institution that is registered and permitted by the competent authority of the local country to operate securities business.
The term “local country” in the preceding paragraph shall be separately defined by this Corporation.
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Article 136
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Where any securities firm violates Paragraph 3 of Article 25, Article 26, Paragraph 2 or Paragraph 3 of Article 58, Subparagraph 5 of Paragraph 1 and Paragraph 3 of Article 75, Paragraph 2 of Article 75-1, Paragraph 2 of Article 75-2, Article 77-4, Paragraph 5 of Article 80, Article 81, Paragraph 1 or Paragraph 2 of Article 82, Article 82-1, Paragraph 2 of Article 83, Paragraph 1, 2, 4 or 5 of Article 91, Paragraph 2 of Article 91-1, Paragraph 2 of Article 92, Paragraph 2 or 3 of Article 94, Paragraph 2 of Article 108, Paragraph 3 of Article 109, Article 113-1, or fail to make correction or improvement within the time limit designated in accordance with the preceding article, this Corporation may warn them and notify it to make correction or improvement within a prescribed time limit.
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