Taiwan Stock Exchange - Rules & Regulations Directory

Article NO. Content


Regulations Governing Securities Firms Trading in Securities on a Fixed-Term, Fixed-Amount Basis 

Amended Date: 2018.08.06 
Categories: Securities Exchange Market > Trading > Securities Transaction
Article 20
    When conducting the Fixed-Term, Fixed-Amount Trading by way of wealth management, a securities firm shall conduct its trust business only for purpose of non-discretionary individual management to be handled via its trust property account.
    For the trust property account in the preceding paragraph, the securities firm shall create client-specific ledgers to record details on a daily basis, and prepare the detailed trading records for the previous month to be submitted to the Securities Exchange or TPEx for recordation by the fifth business day after the end of the month.
Data Source:Taiwan Stock Exchange - Rules & Regulations Directory