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友善列印
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Article NO. Content

Title:

Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers  CH

Amended Date: 2015.03.31 
Categories: Securities Exchange Market > Borrowing of Money
Article 11     No securities firm may use funds from the cash management account to engage in a transaction in an eligible instrument under the preceding article with the securities firm itself or with a company that is an interested party of the securities firm, without having expressly informed the customer concerned of the associated conflict of interest and corresponding control measures and obtained the written consent of the customer.