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Article NO. Content


Operational Rules Governing Day Trades of Securities  CH

Amended Date: 2016.02.01 
Categories: Securities Exchange Market > Trading > Securities Transaction
Article 11     A securities broker shall set up a separate account ledger for each customer and make itemized daily entries of shortfalls in securities deliverable in day trading, borrowing of securities through bidding or negotiation procedures, settlement-driven securities borrowing, return of securities, entitlement compensation, and related matters.
    A securities broker shall, based on the account entry records under the preceding paragraph, prepare a reconciliation statement each month and deliver it to the customer, unless there is no record of borrowing for the given month and neither the lender nor the borrower has submitted a written request for a statement.
    The securities broker shall obtain written statements of consent signed by securities borrowers and by lenders under Article 7 consenting for the securities broker to provide the signer's personal information related to securities borrowing to the TWSE, GTSM, and any institution designated by the competent authority, as required for collection, processing, or international transmission, and utilization, in accordance with relevant laws and regulations.