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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 18     A securities firm shall retain the relevant record when a customer applies in the agreed manner for reclaim of its funds retained.
    When the securities firm is to transfer the customer's funds above, it shall transfer themwithin the agreed period to the customer's Securities Book-entry Account or Customer Savings Account only.
    In the event of a change to the Customer Savings Account in the preceding paragraph, the customer shall make an application for change by himself.
    A securities firm shall, on a daily basis, notify customers that applyon the day for reclaim of funds totaling NTD1 million or above in a lump sum or cumulatively, by text, or by telephone with the audio recording retained; a text notice shall state that an immediate reply is requested in the event of queries.