• Font Size:
  • S
  • M
  • L

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 6     If, after commencing the Services, the self-owned capital adequacy ratio of the securities firm drops below 150% for two consecutive months, the securities firm shall voluntarily suspend its provision of the Services.
    If, upon occurrence of the circumstance described in the preceding paragraph, the securities firm fails to voluntarily suspend its provision of the Services, the TWSE shall request the securities firm to immediately suspend its provision of the Services.
    The securities firm shall close the position for its investment in the money market and transfer the money received therefrom to the book-entry account opened by the client for trading of securities on the centralized securities exchange market or GTSM, within one business day following its suspension of the Services.
    Upon suspension of its provision of the Services, the securities firm shall immediately report to the TWSE and inform the TWSE of the status of the action as required in the preceding paragraph.