• Font Size:
  • S
  • M
  • L
友善列印
WORD

Article NO. Content

Title:

Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading  CH

Amended Date: 2015.07.09 (Articles 2 amended,English version coming soon)
Current English version amended on 2012.04.24 
Article 6     Internal auditing at a securities firm shall include a weekly audit of the brokerage trades entered by insiders in their securities firm and the subject of the trades, in order to avoid affecting the rights and interests of other investors and the securities firm.