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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 7     Where the head office of a securities firm has trading halted or restricted by the TWSE pursuant to the Operating Rules or by the TPEx pursuant to the TPEx Trading Rules, the securities firm shall immediately cease to retain customers' settlement funds and shall, before the following business day, transfer the funds back to the customers' Securities Book-entry Accounts or Customer Savings Account for ledger settlement.
    When the securities firm ceases to retain customers' settlement funds, it shall give immediate notice to the TWSE and TPEx in writing, reporting on how the circumstance in the preceding paragraph is handled.