Regulations Governing Securities Firms Article 35
A securities firm accepting brokerage orders to trade securities shall evaluate a customer's investment ability based on the information referred to in the preceding article and transaction conditions. If the evaluation of a customer's credit status shows that the customer's order is beyond their investment ability, unless proper security is furnished, the securities firm may refuse the brokerage order for trading.
中文原文 證券商管理規則第35條
證券商受託買賣有價證券，應依據前條之資料及往來狀況評估客戶投資能力；客戶之委託經評估其信用狀況如有逾越其投資能力，除提供適當之擔保者外，得拒絕受託買賣。