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Article NO. Content

Title:

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 8     Securities brokers shall not accept a trading order under any of the following conditions:
  1. Where the broker is given full authorization to select the type of security traded.
  2. Where the broker is given full authorization to decide the volume of securities traded.
  3. Where the broker is given full authorization to decide the price at which the brokerage trade takes place.
  4. Where the broker is given full authorization to decide whether to buy or sell securities.
  5. Where the trade involves securities not approved for listing or for which trading has been temporarily suspended.
  6. Where the trade involves securities no longer listed.
  7. Where the securities trade involves installment payments.
  8. Where the principal is given a guarantee of profit or profit sharing is involved in securities trading.
  9. Where a securities dealer's trading order has not been approved by the competent authority.