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Article NO. Content

Title:

Guidelines Governing the Creation of Customer Ledgers of Securities Firms' Settlement Accounts  CH

Amended Date: 2020.05.27 (Articles 2, 12, 15, 22 amended,English version coming soon)
Current English version amended on 2017.12.25 
Categories: Market Supervision > Regulation of Securities Firms
Article 12     A template of the contract shall be created by the TSA, presented to the competent authority for reference, and state the following:
    A template of the above-mentioned contract shall be created by the TSA, presented to the competent authority for reference, and state the following:
  1. Scope of retention of the customer funds
  2. Scope of payment service provided to the customer and the order in which it is rendered
  3. Terms of settlement and payment of interest
  4. Procedures for the customer's reclaim of its funds
  5. Ways for the customer to inquire about its funds
  6. The securities firm shall retain receipt and payment records regarding funds in the customer's ledger
  7. Schedule of the securities firm's management fees
  8. Effective date of the contract and ways to handle amendments and termination of the contract
  9. Pursuant to the Personal Information Protection Act and relevant laws and regulations, the customer agrees the securities firm may furnish information pertaining to the customer's ledger to the TWSE, TPEx and other institutions designated by the competent authority
  10. Dispute resolution