A securities firm accepting orders to trade foreign securities shall prepare and submit a trade report to the principal after the transaction. Where the principal has signed a consent form, however, and it has been confirmed that the principal has been notified of the relevant trading information by telephone, e-mail, facsimile, text message, voice mail, or web page program on the confirmed transaction date, the securities firm may be exempt from the requirement for submitting a trade report to the principal.
The trade report referred to in the preceding paragraph shall contain the following particulars:
- Account number and account holder name.
- Transaction date.
- Settlement date.
- International stock code.
- Type of transacted securities.
- Number of shares or par value thereof.
- Unit price and total price
- Service charges.
- Amount of money to be received or paid.
- Currency of settlement.
- Exchange rate, applicable where settlement is made in New Taiwan Dollars.
- Other matters to be recorded in accordance with the regulations of the foreign securities market.