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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 3-1      The researchers at a securities firm, prior to the release of any research report, may not discuss the content of the report to anyone outside of the research department, except for necessary discussions with the review department during the research report review procedures conducted by the securities firm or its overseas parent company (or headquarters), or an affiliated enterprise of the overseas parent company (or headquarters).