Restricted Transaction Releases

To ensure the safety of customer assets, maintain the smooth use of participants' depository clearing connection online transactions and strengthen internal control and audit functions to manage specific transaction behaviors.

Introduction

To ensure the safety of customer assets, maintain the smooth use of participants' depository clearing connection online transactions and strengthen internal control and audit functions to manage specific transaction behaviors. For application forms, please visit the website/Downloads/Participant Section/Equity Securities Services Overview/Restricted Transaction Releases or Frequently-Used Forms for Equity Services:

  1. Participant Operations of Restricted Connection Transaction Application Form (For Pledge Setting Delivery)

  2. Participant Operations of Restricted Connection Transaction Application Form (Non-Account Changes: Transactions such as 440 and B40)

  3. Participant Operations of Restricted Connection Transaction Application Form (Non-Account Changes: Transactions such as 146)

  4. Participant Operations of Restricted Connection Transaction Application Form (Account Changes: Transactions such as 112, 117, 120, and 127)

  5. Participant Operations of Restricted Connection Transaction Application Form (Account Changes: Transactions such as 130, 131, and 151)

  6. Participant Operations of Restricted Connection Transaction Application Form (Issuer Custody of Book-Entry Transfer Accounts: Transactions such as A53, 671, 673, and 259)

  7. Cancellation of Affidavits for Accounts of Natural Persons of Foreign Nationality

For detailed operation procedures, please refer to "Taiwan Depository & Clearing Corporation Directions for the Handling by Participants of Centralized Custody Business Precaution" on the official website of the Taiwan Depository & Clearing Corporation, under the Regulations-Securities category.

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