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Article NO. Content


Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date: 2020.10.26 (Articles 10 amended,English version coming soon)
Current English version amended on 2020.01.15 
Article 11-2     A responsible person of a securities firm or their spouse who serves as a director, supervisor, or managerial officer or who holds 5 percent or more of the total issued shares of a public company may not participate in the policy decision-making of the securities firm in any business relating to that public company.
    The calculation of shares held by a person referred to in the preceding paragraph shall include shares held under the names of the person's spouse and minor children, and those held under the names of any other persons.