Regulations Governing the Conduct of Discretionary Investment Business by Securities Investment Trust Enterprises and Securities Investment Consulting Enterprises Article 39
A trust enterprise that conducts discretionary investment business shall do so in accordance with operating rules.The operating rules of the preceding paragraph regarding contract signing, account opening, trading, settlement, clearing, investment and trading matters (e.g. analysis reports, decisions, execution records, review reports), and other matters shall be drafted by SITCA and approved by the FSC; the same applies to any amendment thereto.
中文原文 證券投資信託事業證券投資顧問事業經營全權委託投資業務管理辦法第39條
信託業兼營全權委託投資業務，應依業務操作之規定為之。
前項有關簽約、開戶、買賣、交割、結算、投資或交易之分析報告、決定、執行紀錄與檢討報告及其他處理事項之業務操作規定，由同業公會擬訂，報經本會核定；修正時亦同。
前項有關簽約、開戶、買賣、交割、結算、投資或交易之分析報告、決定、執行紀錄與檢討報告及其他處理事項之業務操作規定，由同業公會擬訂，報經本會核定；修正時亦同。