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7
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Where the securities firm accepts an engagement to trade in securities where the trading method is changed and funds and securities shall be collected in advance in accordance with applicable laws and regulations, the funds and securities collected in advance shall be transferred via the book-entry system, and said securities shall be earmarked, through the settlement account and the central securities depository account.
Where an overseas Chinese or foreign national has agreed with a custodian institution that no funds and securities earmarked may be transferred for other purposes, the securities firm may entertain an order to trade or dispose of securities upon verifying through the relevant operating system of the Taiwan Depository & Clearing Corporation that the custodian institution has earmarked the funds and securities in full.
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