Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Directions for the Conduct of Wealth Management Business by Securities Firms 

Amended Date: 2020.09.10 (Articles 6 amended,English version coming soon)
Current English version amended on 2015.01.21 
29
    A securities firm conducting wealth management business by means of trusts shall transmit relevant information for each month, that is prepared in the format prescribed by the Securities Association and has been reported to the FSC for recordation, to the Securities Association by the 10th day of the following month.
    For a securities firm conducting wealth management business by means of trusts, when it reports to the Trust Association with statements related to trust accounts pursuant to Article 11 of the Regulations Governing the Concurrent Operation of Trust Business, it shall also report to the Securities Association with copies of the same statements.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw