|
2
|
Account opening and account management
- Account opening personnel of securities firms are required to review each and every item in the account opening documents of securities investors sent from the Securities Introducing Broker, upon receipt of such documents. After confirming the correctness of the documents, the personnel shall key in the data to the computers of the Taiwan Stock Exchange Corporation (hereinafter "TWSE") and the Taipei Exchange ( hereinafter "TPEx"), thus completing the account opening procedure.
Matters concerning the account opening for accepting orders to trade foreign securities are governed by the applicable regulations of the competent authorities and Taiwan Securities Association governing securities firms accepting orders to trade foreign securities.
- Securities firms shall keep the information of the account of the securities investors opened by the Securities Introducing Broker confidential except in the event of inquiries conducted as required by laws and regulations.
- The internal audit of the securities firms shall audit every week the information of the account of the securities investors opened by the Securities Introducing Broker engaged, targeting the deficiencies and giving guidance. The content of the guidance shall be to ensure the Securities Introducing Broker strictly complies with Article 5 of the Regulations.
|