|
Article 10
|
The sources of funds kept under custody and invested by a securities firm on behalf of customers are limited to the following:
- Trading balances from brokered securities trading in the centralized securities exchange market or OTC market that are to be paid to the customers by the securities firm.
- Funds from the exercise of call (put) warrants that are to be paid to the customers by the securities firm.
- Trading balances from bond trading and repo-style transactions with customers that are to be paid to the customers by the securities firm.
- Trading balances from financial products transactions conducted by the securities firm with customers pursuant to the Taipei Exchange Rules Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms and that are to be paid to the customers by the securities firm.
- Trading balances from brokered foreign securities trading and sub-brokered businesses that are to be paid to the customers by the securities firm.
- Other sources prescribed by the competent authority.
The securities firm, pursuant to its agreements with customers, shall transfer the relevant funds mentioned in the preceding paragraph into the cash management account on the day the funds are received.
|