Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 13
A securities firm accepting orders to trade foreign securities shall require the principal or the principal’s representative or agent to complete an order ticket face to face, or an associated person may complete a written or an electronic order ticket in accordance with the order given by the principal or the principal's representative or agent using letter, telegram, facsimile, telephone or other electronic means, and shall retain a record of the customer's orders in accordance with regulations.The order ticket referred to in the preceding paragraph shall contain the following particulars:1. Account number and account holder name.2. Order method (face to face, letters, telephone, telegram, facsimile, or other electronic means).3. Date, time, and valid period of the order.4. The international stock code.5. The type and the volume or total purchase amount of the securities.6. Order price.7. Currency of settlement.8. Chop of the associated person.9. Chop of the principal.The principal or its representative or agent may also use the Internet or other electronic forms of transaction to place orders; where orders are made by means of such media, the securities firm may be exempt from producing and filling out an order form, provided that it shall immediately print records of order tickets in the sequence received for the purpose of verification.When a securities firm accepts an order that is not made in electronic form but produces an order ticket in electronic form, or when it accepts an order in electronic form, it shall print out records of the trading orders in the chronological order of their receipt, which shall be signed or stamped after close of market by the person handling the brokerage trades. When the records of trading orders are retained in conformance with the following provisions, however, the records need not be printed out and signed or stamped:1. The orders are stored on electronic media that cannot be edited or erased, and the compilation of records is completed on the date of their transaction.2. A full index and management procedures for the records have been established.3. A dedicated person is responsible for their management, and immediate conversion of the electronic data to hardcopy format is possible at any time.
中文原文 證券商受託買賣外國有價證券管理規則第13條
證券商受託買賣外國有價證券，應由委託人或其代表人、代理人當面填具委託書，或業務人員依據委託人或其代表人、代理人書信、電報、傳真、電話、其他電傳視訊之委託，以書面或電子方式填具委託書並依規定保存客戶委託紀錄。
前項委託書應載明下列事項：
一、帳號及戶名。
二、委託方式（當面、書信、電話、電報、傳真或其他電傳視訊）。
三、委託日期、時間及委託有效期間。
四、國際證券代號。
五、證券種類、數量或金額。
六、委託價格。
七、交割幣別。
八、業務人員簽章。
九、委託人簽章。
委託人或其代表人、代理人亦得以網際網路等電子式交易型態委託；依該方式委託者，證券商得免製作、代填委託書。
證券商受理非電子式交易型態之委託買賣且採電子方式填具委託書，或受理電子式交易型態之委託買賣，應依時序別列印買賣委託紀錄，並於收市後由受託買賣人員簽章。
但買賣委託紀錄儲存作業符合下列規定者，得免列印及簽章：
一、使用無法修改與消除之電子儲存媒體，並於成交當日製作完成。
二、建立完整目錄及管理程序。
三、專人管理負責，並可隨時將電子媒體資料轉換成書面格式。
前項委託書應載明下列事項：
一、帳號及戶名。
二、委託方式（當面、書信、電話、電報、傳真或其他電傳視訊）。
三、委託日期、時間及委託有效期間。
四、國際證券代號。
五、證券種類、數量或金額。
六、委託價格。
七、交割幣別。
八、業務人員簽章。
九、委託人簽章。
委託人或其代表人、代理人亦得以網際網路等電子式交易型態委託；依該方式委託者，證券商得免製作、代填委託書。
證券商受理非電子式交易型態之委託買賣且採電子方式填具委託書，或受理電子式交易型態之委託買賣，應依時序別列印買賣委託紀錄，並於收市後由受託買賣人員簽章。
但買賣委託紀錄儲存作業符合下列規定者，得免列印及簽章：
一、使用無法修改與消除之電子儲存媒體，並於成交當日製作完成。
二、建立完整目錄及管理程序。
三、專人管理負責，並可隨時將電子媒體資料轉換成書面格式。