Article NO. Content


Operation Directions for Agency Services Operated by Securities Firms Engaged by Customers to Invest Their Securities Trading Balances 

Amended Date: 2015.03.31 
Categories: Securities Exchange Market > Borrowing of Money
Article 11     When the securities firm invests in money market funds and bond funds - quasi-money market funds and needs to use the seal of the securities firm as appearing in the letter of authorization in lieu of the customer's seal on the application documents of subscription, repurchase and conversion, the securities firm shall obtain the authorization of the customer.
    Where the securities firm makes the investment in the above paragraph, the funds may be delivered in the day trade amount in a lump sum together with a detailed account by the customer category to the investment trust or the bank.
    The securities firm shall stipulate the method of safekeeping trading records in its internal control system.