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Article NO. Content


Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers  CH

Amended Date: 2015.03.31 
Categories: Securities Exchange Market > Borrowing of Money
Article 8     To apply to resume business operations relating to custody and investment of funds on behalf of customers, a securities firm shall submit an application to the TWSE when it has met the required eligibility conditions for both credit rating and, for three consecutive months, the regulatory capital adequacy ratio, and it may resume such business operations only when the application has been reviewed by the TWSE and then forwarded to and approved by the competent authority.
    Article 5, paragraph 2 shall apply mutatis mutandis to a securities firm submitting a regulatory filing for the commencement of business for which it has received approval under the preceding paragraph.