Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities Article 8
Securities firms accepting orders to trade foreign securities shall enter into a brokerage contract with the principal for the trading of foreign securities before it may accept orders to trade securities.The contract referred to in the preceding paragraph shall contain the following particulars:1. The procedures of executing the brokerage contract, and the period of validity of the contract.2. The particulars that both parties to the brokerage trading shall observe.3. The terms of the deposit of purchased foreign securities into a foreign depositary institution.4. The particulars stated on relevant documents regarding the deposit of purchased foreign securities into a foreign depositary institution.5. The time period for settlement of trades in foreign securities, the method of payment/acceptance of the settlement money, the currency, the exchange rate and its method of calculation, and matters agreed upon regarding the foreign exchange remittance authorization.6. The method of handling breach of the settlement obligation.7. The matters agreed to regarding the handling of dividends and exercise of shareholders rights.8. The reporting of changes in the basic information of the principal, and indemnity in case of non-reporting.9. The information and the services that shall be provided by the securities firm.10. The scope of damages that arise from causes attributable to the other contracting party, arbitration, and the handling of related matters.11. The method of handling losses not attributable to either party to the contract.12. Matters regarding the notification regarding amendment to the contract.13. Matters regarding the rescission or termination of the contract.14. Other particulars that must be noted that are relevant to the rights and obligations of the parties.Securities firms’ contracts for brokerage trading of foreign securities shall be reported to the securities dealers association for its record.The matters to be recorded in a contract entered into between a securities firm and a professional institutional investor or high net worth juristic person investor for brokerage trading of foreign securities shall be decided in accordance with the business needs of both parties, and paragraph 2 shall not apply.
中文原文 證券商受託買賣外國有價證券管理規則第8條
證券商受託買賣外國有價證券，應與委託人簽訂受託買賣外國有價證券契約，始得接受委託辦理買賣有價證券。
前項契約應行記載事項如下：
一、簽訂受託契約之手續及契約有效期間事項。
二、受託買賣雙方應行遵守事項。
三、買進外國有價證券寄存國外保管機構約定事項。
四、買進外國有價證券寄存國外保管機構於有關文件載明證明事項。
五、受託買賣外國有價證券交割期限、交割款項之收付方式、幣別、匯率及其計算、結匯授權約定事項。
六、不履行交割違約之處理事項。
七、配息、股權行使等之處理約定事項。
八、委託人基本資料異動申報及未申報之免責事項。
九、證券商應行提供資訊及服務事項。
十、因可歸責於他方契約當事人之事由所致損害之範圍、仲裁及有關事項之處理。
十一、因不可歸責於契約當事人之事由所致損害之處理方式。
十二、契約條款變更之通知約定事項。
十三、契約解除或終止約定事項。
十四、其他與當事人權利義務有關之必要記載事項。
證券商受託買賣外國有價證券契約，應報請證券商同業公會備查。
證券商與專業機構投資人或高淨值投資法人簽訂之受託買賣外國有價證券契約，其應行記載事項得視雙方當事人業務需要訂定之，不受第二項之限制。
前項契約應行記載事項如下：
一、簽訂受託契約之手續及契約有效期間事項。
二、受託買賣雙方應行遵守事項。
三、買進外國有價證券寄存國外保管機構約定事項。
四、買進外國有價證券寄存國外保管機構於有關文件載明證明事項。
五、受託買賣外國有價證券交割期限、交割款項之收付方式、幣別、匯率及其計算、結匯授權約定事項。
六、不履行交割違約之處理事項。
七、配息、股權行使等之處理約定事項。
八、委託人基本資料異動申報及未申報之免責事項。
九、證券商應行提供資訊及服務事項。
十、因可歸責於他方契約當事人之事由所致損害之範圍、仲裁及有關事項之處理。
十一、因不可歸責於契約當事人之事由所致損害之處理方式。
十二、契約條款變更之通知約定事項。
十三、契約解除或終止約定事項。
十四、其他與當事人權利義務有關之必要記載事項。
證券商受託買賣外國有價證券契約，應報請證券商同業公會備查。
證券商與專業機構投資人或高淨值投資法人簽訂之受託買賣外國有價證券契約，其應行記載事項得視雙方當事人業務需要訂定之，不受第二項之限制。