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Article NO. Content

Title:

Taiwan Stock Exchange Corporation Standards Governing Principal Identification and Management of Credit Line Categorization in the Processing by Securities Firms of Account Opening  CH

Amended Date: 2019.12.27 
Categories: Market Supervision > Regulation of Securities Firms
Article 4     Where the settlement bank validates the principal’s identify in either manner below and where the principal texts back the correct confirmation number from the mobile phone number registered with the settlement bank, the single-day trading limit on the first type of account is NT$4.99 million in principle, subject to the actual settlement condition and risk management policy, provided in the event of any subsequent adjustment to the limit, the securities firm may follow the Self-Regulatory Rules on Credit Checking and Credit Line Managementwithout being subject to the limit in paragraph 2 of the preceding article if the principal’s identity is verified in either manner below:
  1. conduct validation using software or physical certification (such as citizen digital certificate IC card) that conforms to the Electronic Signatures Act, and create customer image files (videos)
  2. conduct over-the-counter validation.