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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 13     A securities broker, when delivering/paying or receiving securities or prices payable to or from a principal for brokerage trading, as well as collecting the commission and securities transaction tax, shall do so by book entry through the central securities depository account opened by the principal or the principal's account at the designated financial institution, or by account transfer (or remittance) through the depository account of the custodial institution in accordance with Article 3 of these Regulations.
    A securities broker conducting the business of accepting instructions from customers to keep custody of and invest customer funds, or operating the business of acting as an agent, as instructed by customers, to invest balances of funds from the trading of securities on behalf of customers, shall comply with the regulations governing these respective kinds of business when handling operations in connection with the receipt and payment of funds for brokerage trading under the preceding paragraph.