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友善列印
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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 2     Pursuant to Article 38, Paragraph 2 of the Regulations Governing Securities Firms, a securities firm that retains customers' settlement funds in the securities firm's settlement account ("Settlement Account") with customers' consent shall comply with securities exchange laws and regulations and the rules, regulations, public notices and letter directives of the TWSE, TPEx and Taiwan Securities Association ("TSA").