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Article NO. Content

Title:

Securities and Exchange Act  CH

Amended Date: 2020.05.19 
Article 45 (Restrictions on Concurrent Operations and Investment)
    A securities firm shall operate within the business categories as authorized under Article 16, and may not operate securities business beyond the authorized scope, provided that with the approval of the Competent Authority, this restriction shall not apply.
    A securities firm shall not be operated concurrently by other businesses; however, a financial institution with approval from the Competent Authority shall be allowed to concurrently operate securities business.
    A securities firm shall not invest in another securities firm except with the approval of the Competent Authority.