| Article 75 |
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| Article 75-1 |
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| Article 75-2 |
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| Article 76 |
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| Article 77 |
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| Article 77-1 |
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| Article 77-2 |
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| Article 77-3 |
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| Article 77-4 |
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| Article 77-5 |
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| Article 78 |
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| Article 79 |
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| Article 80 |
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| Article 80-1 |
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| Article 81 |
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| Article 82 |
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| Article 82-1 |
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| Article 82-2 |
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| Article 83 |
A securities broker shall keep complete and true records and vouchers when receiving or delivering listed securities or payments in connection with the consigned trade.
The vouchers referred to in the preceding Paragraph shall include receipts for funds and securities collected in advance, vouchers on securities delivered, and trading reports. The format thereof and the particulars to be entered therein shall conform to the regulations prescribed by the Competent Authority.
Where a financial institution concurrently engages in the business of a securities broker and has opened specific accounts for depositing funds which can be verified, it need not use trading reports.
A securities broker shall handle the receipt of listed securities or funds from its principals or delivery of listed securities or funds to its principals referred to in Paragraph 1 of this Article by book-entry through the securities central depositary accounts opened by its principals or through the accounts opened by its principals with financial institutions designated by the securities broker, except under any of the following circumstances:
1.Where a securities investment trust fund, insurance enterprise, offshore overseas Chinese or foreign national, or an overseas Chinese or foreign national who has converted foreign corporate bonds held by him into stock or has converted foreign depositary receipts held by him into the underlying securities maintains an account at the custodian institution (custodian bank), the receipt and payment of the purchase prices may be effected by account transfer (or remittance) through such account.
2.Where a depositary institution of foreign depositary receipts upon being consigned by its principal to redeem the foreign depositary receipts and sell the stock, it may receive the proceeds thereof by way of account transfer (or remittance) through the account maintained at the custodian bank.
3. Where a principal places consignment for discretionary account securities trading with a securities investment consulting enterprise or a securities investment trust enterprise, the principal may open and maintain an account at the custodian institution, and the receipt and payment of the purchase prices may be effected by account transfer (or remittance) through such account. When processing transaction settlement, transfer of payment or stock certificates among separate accounts for discretionary in
vestment consignment in the name of the same principal shall not be allowed.
The listed securities received by a securities broker in connection with the consigned trade shall be handled in accordance with the Measures for Custody of Listed Securities and Measures for Management of Transitionally Deposited Listed Securities as approved by the Competent Authority. A securities broker shall keep complete and true records and vouchers when receiving or delivering listed securities or payments in connection with the consigned trade.
The vouchers referred to in the preceding Paragraph shall include receipts for funds and securities collected in advance, vouchers on securities delivered, and trading reports. The format thereof and the particulars to be entered therein shall conform to the regulations prescribed by the Competent Authority.
Where a financial institution concurrently engages in the business of a securities broker and has opened specific accounts for depositing funds which can be verified, it need not use trading reports.
A securities broker shall handle the receipt of listed securities or funds from its principals or delivery of listed securities or funds to its principals referred to in Paragraph 1 of this Article by book-entry through the securities central depositary accounts opened by its principals or through the accounts opened by its principals with financial institutions designated by the securities broker, except under any of the following circumstances:
1.Where a securities investment trust fund, insurance enterprise, offshore overseas Chinese or foreign national, or an overseas Chinese or foreign national who has converted foreign corporate bonds held by him into stock or has converted foreign depositary receipts held by him into the underlying securities maintains an account at the custodian institution (custodian bank), the receipt and payment of the purchase prices may be effected by account transfer (or remittance) through such account.
2.Where a depositary institution of foreign depositary receipts upon being consigned by its principal to redeem the foreign depositary receipts and sell the stock, it may receive the proceeds thereof by way of account transfer (or remittance) through the account maintained at the custodian bank.
3. Where a principal places consignment for discretionary account securities trading with a securities investment consulting enterprise or a securities investment trust enterprise, the principal may open and maintain an account at the custodian institution, and the receipt and payment of the purchase prices may be effected by account transfer (or remittance) through such account. When processing transaction settlement, transfer of payment or stock certificates among separate accounts for discretionary in
vestment consignment in the name of the same principal shall not be allowed.
The listed securities received by a securities broker in connection with the consigned trade shall be handled in accordance with the Measures for Custody of Listed Securities and Measures for Management of Transitionally Deposited Listed Securities as approved by the Competent Authority. |
| Article 84 |
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| Article 85 |
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| Article 86 |
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| Article 87 |
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| Article 88 |
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| Article 89 |
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| Article 90 |
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| Article 91 |
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| Article 91-1 |
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| Article 92 |
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| Article 93 |
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| Article 94 |
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| Article 95 |
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