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Article NO. Content


Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers  CH

Amended Date: 2017.11.22 
Categories: Market Supervision > Regulation of Securities Firms
Article 11     When recommending a trade in securities to a customer, a securities firm shall retain a record, and shall keep the record at its place of business.
    A securities firm shall retain records referred to in the previous paragraph for no less than two years; provided that where there is any dispute, it shall retain them until the dispute is eliminated.