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Where a securities broker accepts an order to trade securities with altered trading method as defined by the TWSE or securities for which the TWSE otherwise requires advance collection of funds and securities, the broker may register the trading only if it collects full or a certain percentage of the funds and securities in advance and puts a note on the trading order, except for securities with altered trading method and securities under disposal that are traded through a default-handling account, or a call (put) warrant liquidity providers account or call (put) warrant hedging account, or securities for which advance collection of funds and securities is otherwise required by the TWSE.
Where an overseas Chinese or foreign national has agreed with a custodian institution that no funds and securities earmarked may be transferred for other purposes, the securities firm may entertain an order to trade or dispose of securities upon verifying through the relevant operating system of the Taiwan Depository & Clearing Corporation that the custodian institution has earmarked the funds and securities in full.
The securities broker may collect payments or earmark funds that are to be kept in the settlement account of the securities firm with the consent of the customer, of which payments or funds advance collection is required, one business day before the day of the trading order.
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