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Article NO. Content


Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients  CH

Amended Date: 2015.03.31 
Categories: Market Supervision > Regulation of Securities Firms
Article 16     The securities firm shall keep complete and thorough records and prepare the following statements on a daily basis in respect of the Services:
  1. a daily statement reflecting the receipt and payment of funds in the Securities Firm Money Market Fund Investment Account;
  2. a daily statement reflecting the utilization of funds and transfers of money in regard to the Securities Firm Money Market Fund Investment Account,; and
  3. a detailed statement for individual clients showing the allocation and utilization of funds in regard to the Securities Firm Money Market Fund Investment Account.
    Upon completion of the production of the statements in the preceding paragraph, the statements may be stored on electronic media; provided, however, that the storage media shall disable the revision and deletion functions and is able to convert electronic files into written form at any time.
    The securities firm shall transmit the daily statements described in paragraph 1, subparagraphs 1 and 2 above for the current month, at the end of a month to the TWSE.
    Statements, evidence and documentation relating to the Services shall be kept for at least five years, or a longer term as required under other applicable laws; provided, however, that in the event of a dispute, these documents shall be kept for as long as the dispute remains unresolved.