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Amendments

Title：

Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts  CH

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
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese

Title： Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts(2021.04.20)
Date：
Article 9     A securities firm may, subject to the customer's instructions, use the Settlement Account to receive and pay the business payments listed below, in NTD only:
  1. Accept orders to trade in securities on the TWSE
  2. Accept orders to trade in securities at its place of business
  3. Margin purchase and short sale of securities
  4. Exercise call (put) warrants
  5. Consignment and re-consignment trading of foreign securities
  6. Agency service regarding trading in foreign bonds
  7. Securities lending
  8. Securities business money lending
  9. Wealth management
  10. Securities dealing at the securities firm's place of business
  11. Securities underwriting
  12. Discretionary investment by way of authorization or trust
  13. Other business as approved by the competent authority
    Upon a written agreement with the customer, a securities firm may transfer to the customer's Settlement Account the yields on its securities, or amounts it may receive from public tender offer, merger, cash refund capital reduction and other stock affairs approved by the competent authorities.
    The securities firm shall be responsible for the amount of losses arising out of operational negligence in conducting the businesses in the preceding two paragraphs, without prejudicing the customer's rights and interests.