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Article NO. Content

Title:

Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities  CH

Amended Date: 2017.10.06 
Article 19     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:
  1. Account number and account holder name.
  2. Transaction date.
  3. Settlement date.
  4. International stock code.
  5. Type of transacted securities.
  6. Number of shares or par value thereof.
  7. Unit price and total price
  8. Service charges.
  9. Taxation.
  10. Amount of money to be received or paid.
  11. Currency of settlement.
  12. Exchange rate, applicable where settlement is made in New Taiwan Dollars.
  13. Other matters to be recorded in accordance with the regulations of the foreign securities market.