Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers Article 10
The sources of funds kept under custody and invested by a securities firm on behalf of customers are limited to the following:1. Trading balances from brokered securities trading in the centralized securities exchange market or OTC market that are to be paid to the customers by the securities firm.2. Funds from the exercise of call (put) warrants that are to be paid to the customers by the securities firm.3. Trading balances from bond trading and repo-style transactions with customers that are to be paid to the customers by the securities firm.4. Trading balances from financial products transactions conducted by the securities firm with customers pursuant to the Taipei Exchange Rules Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms and that are to be paid to the customers by the securities firm.5. Trading balances from brokered foreign securities trading and sub-brokered businesses that are to be paid to the customers by the securities firm.6. Other sources prescribed by the competent authority.The securities firm, pursuant to its agreements with customers, shall transfer the relevant funds mentioned in the preceding paragraph into the cash management account on the day the funds are received.
中文原文 證券商辦理客戶委託保管及運用其款項管理辦法第10條
證券商接受客戶委託保管及運用之款項，以下列各款為限：
一、證券商受託買賣集中交易市場或櫃檯買賣市場有價證券應給付客戶之結餘款項。
二、證券商因認購（售）權證履約應給付客戶之款項。
三、證券商因與客戶從事債券買賣或附條件交易而應給付客戶之結餘款項。
四、證券商因與客戶從事證券櫃檯買賣中心證券商營業處所經營衍生性金融商品交易業務規則所定金融商品交易而應給付客戶之結餘款項。
五、證券商受託買賣外國有價證券及其複委託業務而應給付客戶之結餘款項。
六、其他經主管機關規定者。
證券商應依與客戶之約定，將前項相關款項於撥入當日撥轉至現金管理專戶。
一、證券商受託買賣集中交易市場或櫃檯買賣市場有價證券應給付客戶之結餘款項。
二、證券商因認購（售）權證履約應給付客戶之款項。
三、證券商因與客戶從事債券買賣或附條件交易而應給付客戶之結餘款項。
四、證券商因與客戶從事證券櫃檯買賣中心證券商營業處所經營衍生性金融商品交易業務規則所定金融商品交易而應給付客戶之結餘款項。
五、證券商受託買賣外國有價證券及其複委託業務而應給付客戶之結餘款項。
六、其他經主管機關規定者。
證券商應依與客戶之約定，將前項相關款項於撥入當日撥轉至現金管理專戶。