| 1 |
With regard to the preservation periods of trading related business certificates, including written documents or electronic recordings, the "Table of Mandatory Preservation Periods for Accounts, Statements, Vouchers, and Certificates of Securities Firms" shall be followed.
Attachment
Monthly Statement of Securities Firm Orders of Trading Through Electronic Methods
┌──────────────────────────────┐
│Name of the Securities Firm: Code: │
├──────────────────────────────┤
│Report Month: year / month) (Unit: NT$ thousand dollars) │
├───────────┬───────┬──────────┤
│Data of Orders of │Internet Order│Order Placed by use │
│Trading Through │ │of telephone voice │
│Electronic Methods │ │menu system │
├───────────┼───────┼──────────┤
│Number of Accounts │ │ │
├───────────┼───────┼──────────┤
│Number of Orders │ │ │
├───────────┼───────┼──────────┤
│Order Amount │ │ │
├───────────┼───────┼──────────┤
│Number of Executed │ │ │
│Transactions │ │ │
├───────────┼───────┼──────────┤
│Trading Amount │ │ │
├───────────┼───────┼──────────┤
│Number of Account │ │ │
│Number Corrections │ │ │
├───────────┼───────┼──────────┤
│Amount of Account │ │ │
│Number Corrections │ │ │
├───────────┼───────┼──────────┤
│Number of Out-Trades │ │ │
├───────────┼───────┼──────────┤
│Amount of Out-Trades │ │ │
├───────────┼───────┼──────────┤
│Number of Defaults │ │ │
├───────────┼───────┼──────────┤
│Amount of Defaults │ │ │
├───────────┼───────┼──────────┤
│ Total Firm │ │ │
│Transactions │ │ │
├───────────┼───────┼──────────┤
│Total Dollar Amount │ │ │
│of Firm Transactions │ │ │
├───────────┼───────┼──────────┤
│Note： │
│1. Please file the statement before the 10th day of each │
│ month. │
│2. The Total Dollar of Firm Transaction refers to the sum │
│ of all transactions conducted on the exchange market of │
│ the Taiwan Stock Exchange Corporation (including │
│ transactions ordered through the Internet, by use of │
│ telephone voice menu system or other methods, adding up │
│ the transactions of both the headquarters and the │
│ branches). │
│3. The number and amount of Account Number Corrections, │
│ Out-Trades or Defaults refer to those ordered through the│
│ Internet or use of telephone voice menu system. │
└──────────────────────────────┘
|
| 2 |
|