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Chapter Content

Title:

Securities and Exchange Act  CH

Amended Date: 2021.01.27 
   Chapter III Securities Firms
      Section 4 Securities Brokers
Article 85(Approval of the Rate for Commission)
    The standards on the commission to be charged to a principal by a securities broker engaged to buy or to sell securities on a centralized securities exchange market shall be registered by the stock exchange to the Competent Authority for its approval.
    The standards on the commission to be charged to principals by a securities broker engaged to buy or to sell securities on markets other than a centralized securities exchange market shall be registered by the securities dealers association to the Competent Authority for its approval.
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Article 86(Report and Reconciliation Statement)
    A securities broker engaged by its principal to trade securities shall, in addition to preparing and delivering a trade report to its principal after completion of the transaction, also send a reconciliation statement to each of its principals at the end of each month.
    The particulars to be included in the trade report and the reconciliation statement referred to in the preceding paragraph shall be prescribed by the Competent Authority.
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Article 87(Order Form)
    Securities brokers shall provide a blank order form to their principals for the purpose of buying and selling securities.
    The particulars to be included in the order form referred to in the preceding paragraph shall be prescribed by the Competent Authority.
Article 88(Retention of Documents)
    The documents referred to in paragraph 1 of Article 86, and paragraph 1 of Article 87 shall be kept at the business offices of the securities broker.
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