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友善列印
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Article NO. Content

Title：

Regulations Governing Information to be Published in Order Tickets, Trade Reports, and Reconciliation Statements Prepared by Securities Brokers Upon Receiving Orders to Buy or Sell Securities  CH

Amended Date： 2020.03.02 
Article Content Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 10     A securities broker shall prepare a monthly reconciliation statement in duplicate and complete it by the fifth day of the following month, with one copy delivered to the principal and the other retained by the securities broker.
    The reconciliation statement under the preceding paragraph shall be completed based upon the data recorded in the customer ledger.