Regulations Governing Securities Firms Article 35-1
For trades of a certain dollar amount or greater, or suspected to involve money laundering, the securities firm shall keep trade documentation sufficient for a full and complete understanding of the trade, records of verification of the customer's identity, and reporting records, and shall comply with the Money Laundering Control Act.
中文原文 證券商管理規則第35-1條
證券商對於一定金額以上或疑似洗錢之交易，應保存足以瞭解交易全貌之交易憑證、確認客戶身分及申報之紀錄，並應依洗錢防制法規定辦理。