Regulations Governing Securities Investment Consulting Enterprises (Originally Adopted 2004.10.30) Article 10
When a SICE accepts a mandate from a customer, it shall fully understand and assess the customer's investment knowledge and experience, financial condition, and degree of risk tolerance.When accepting a mandate from a customer and providing analytical opinions or recommendations on securities investment or trading matters, a SICE shall produce a written securities investment consulting contract stipulating the rights and obligations of both parties.The securities investment consulting contract referred to in the preceding paragraph shall state the following:1. The names and addresses of the parties to the contract.2. The rights, obligations, and legal liability of the parties to the contract.3. The scope of analytical opinions and recommendations provided by the SICE.4. The methods by which the SICE provides its services.5. The amount of remuneration and fees to be paid by the customer and the method of their calculation and payment.6. The SICE's confidentiality obligations in respect of information on customer assets or other personal customer information that it gains as a result of the mandate relationship.7. The customer's obligation not to divulge the analytical opinions or recommendations of the SICE to any third party except with the consent of the SICE.8. The SICE's obligation to not accept funds from a customer or act as the customer's agent in securities investment activities, and to not stipulate the sharing of any securities investment profits or losses with a customer.9. Matters pertaining to amendment or termination of the contract.10. The date on which the contract takes effect and its duration.11. The customer's right to terminate the contract with written notice within 7 days from the date of receipt of the contract.12. The fee refund rate that the customer may seek upon termination of the contract, and the means of refund.13. The means of resolving disputes and the court of jurisdiction.14. Other matters with a bearing on the interests of contracting parties as prescribed by FSC regulation.When a contract is terminated as provided in subparagraph 11 of the preceding paragraph, the SICE may seek remuneration from the customer commensurate with the services provided prior to termination, provided that it may not additionally claim for damages arising from termination or for penalty for breach of contract.A template for the securities investment consulting contract shall be adopted by the SITCA and its use implemented after submission for approval by the FSC; the same shall apply for any amendment thereto.
中文原文 證券投資顧問事業管理規則（931030訂定）第10條
證券投資顧問事業接受客戶委任，應充分知悉並評估客戶之投資知識、投資經驗、財務狀況及其承受投資風險程度。
證券投資顧問事業接受客戶委任，對證券投資或交易有關事項提供分析意見或推介建議時，應訂定書面證券投資顧問契約，載明雙方權利義務。
前項證券投資顧問契約應載明下列事項：
一、契約當事人之名稱及地址。
二、契約當事人之權利、義務及法律責任。
三、證券投資顧問事業提供證券投資研究分析意見或建議之範圍。
四、證券投資顧問事業提供服務之方式。
五、客戶應給付報酬、費用之數額、給付方式及計算之方法。
六、證券投資顧問事業因委任關係而得知客戶之財產狀況及其他個人情況，應有保守秘密之義務。
七、客戶未經證券投資顧問事業之同意，不得將證券投資顧問事業所提供研究分析意見或建議之內容洩漏予他人。
八、證券投資顧問事業不得收受客戶資金或代理從事證券投資行為，亦不得與客戶為證券投資損益分擔之約定。
九、契約之變更或終止。
十、契約之生效日期及其存續期間。
十一、客戶得自收受書面契約之日起七日內，以書面終止契約。
十二、契約終止時，客戶得請求退還報酬之比率及方式。
十三、紛爭之解決方式及管轄法院。
十四、其他影響當事人權益經本會規定應記載事項。
證券投資顧問事業因前項第十一款規定而為契約之終止時，得對客戶請求終止契約前所提供服務之相當報酬。
但不得請求契約終止之損害賠償或違約金。
證券投資顧問契約範本，由同業公會擬訂，報經本會核定後實施；修正時，亦同。
證券投資顧問事業接受客戶委任，對證券投資或交易有關事項提供分析意見或推介建議時，應訂定書面證券投資顧問契約，載明雙方權利義務。
前項證券投資顧問契約應載明下列事項：
一、契約當事人之名稱及地址。
二、契約當事人之權利、義務及法律責任。
三、證券投資顧問事業提供證券投資研究分析意見或建議之範圍。
四、證券投資顧問事業提供服務之方式。
五、客戶應給付報酬、費用之數額、給付方式及計算之方法。
六、證券投資顧問事業因委任關係而得知客戶之財產狀況及其他個人情況，應有保守秘密之義務。
七、客戶未經證券投資顧問事業之同意，不得將證券投資顧問事業所提供研究分析意見或建議之內容洩漏予他人。
八、證券投資顧問事業不得收受客戶資金或代理從事證券投資行為，亦不得與客戶為證券投資損益分擔之約定。
九、契約之變更或終止。
十、契約之生效日期及其存續期間。
十一、客戶得自收受書面契約之日起七日內，以書面終止契約。
十二、契約終止時，客戶得請求退還報酬之比率及方式。
十三、紛爭之解決方式及管轄法院。
十四、其他影響當事人權益經本會規定應記載事項。
證券投資顧問事業因前項第十一款規定而為契約之終止時，得對客戶請求終止契約前所提供服務之相當報酬。
但不得請求契約終止之損害賠償或違約金。
證券投資顧問契約範本，由同業公會擬訂，報經本會核定後實施；修正時，亦同。