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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 4     A securities firm shall disclose in its research reports if it has in the past year served as the lead or a co-underwriter for the issuer of any securities recommended, or has in the past year issued call (or put) warrants for any securities recommended by it.