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Article NO. Content


Taiwan Stock Exchange Corporation Regulations Governing Brokerage Contracts of Securities Brokers  CH

Amended Date: 2019.07.11 
Categories: Basic Laws and Regulations
Market Supervision > Regulation of Securities Firms
Article 11     Except for securities which, by regulation, are sold by bidding at counters, securities brokers receiving trading orders shall enter each item of the trading order form in order into the stock exchange computer system from their computer terminals, and print the order confirmation after acceptance. After the transaction, the broker shall print an execution report, and immediately produce a trade report as stipulated under Article 86 of the Securities and Exchange Act for notification of the principal on the date of the transaction.
    A securities broker shall exercise the diligence and care of a good custodian in managing the online brokerage operations referred to in the preceding paragraph. Should the occurrence of war, natural disaster, or other force majeure events not attributable to the securities broker hinder the normal operation of online computer connections, the securities broker shall not bear liability for compensation.