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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 17     After confirmation and settlement of a trading order, a securities broker shall immediately deliver the securities purchased to the principal, or transfer the prices of the securities sold to the depository account in the designated financial institution in accordance with Article 13. For trades that are not confirmed, securities already received shall be immediately returned to the principal.
    A securities firm receiving or delivering the principal's securities or funds shall keep precise records and retain vouchers of receipt or delivery.