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Article NO. Content


Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers  CH

Amended Date: 2015.01.21 
Article 9     A securities firm applying for approval to keep custody of and invest funds on behalf of customers shall fill out and submit an application form, with the following documents attached, for review by the Taiwan Stock Exchange and forwarding to the competent authority for approval:
  1. A written description of the internal control system.
  2. A financial report for the most recent fiscal year, audited and certified by a CPA. If the date of application is more than 6 months past the start of the new fiscal year, the CPA-audited and certified financial report for the first half of the fiscal year shall also be attached.
  3. The minutes of the board meeting in which the resolution to apply to operate this business was made.
  4. Documentary proof of the qualifications specified in Article 6, paragraph 1, subparagraphs 2 to 4, and subparagraph 5, item 5.
  5. Other documents as required by the competent authority.