Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content

Title:

Guidelines for the Commission Agency Services of Securities Firms for Investment in the Money Market of Settlement Money Payable to Clients from Securities Transactions Undertaken on Behalf of Clients 

Amended Date: 2015.03.31 
Categories: Market Supervision > Regulation of Securities Firms
Article 21
    The securities firm shall establish the method as to how evidence, records or documents such as transaction confirmations, account statements and relevant notices sent from the fund companies shall be kept as part of its internal control system, and regularly check the balance of beneficiary units transacted with the funds in the Investment Account against the number of beneficiary units in inventory and keep a written confirmation.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory
twse-regulation.twse.com.tw