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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 15     A securities firm that retains funds in the Settlement Account with customers' consent shall keep detailed records and prepare the following report and statement on a daily basis:
  1. Daily report on the receipts and payments of funds in the customer's ledger in the securities firm's Settlement Account
  2. Statement of receipts and payments of funds in individual customer ledgers in the securities firm's Settlement Account
    The above report and statement may be stored in electronic media after completion. Such media must be equipped with functions disallowing alteration and cancellation and enabling conversion into written form at any time.
    The securities firm shall send the daily report mentioned in the first paragraph of the previous day to the TWSEbefore 10 A.M. each day.
    Reports and statements, supporting documents and other documents relating to the creation of customer ledgers in a securities firm's Settlement Account shall be retained for at least five years or for any longer period of time prescribed by other applicable laws and regulations, provided in the event of a dispute, they shall be retained until the dispute is eliminated.