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Article NO. Content

Title：

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date： 2024.03.06 (Articles 18 amended,English version coming soon)
Current English version amended on 2022.10.28 
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 19     If a responsible person or associated person of a securities firm is alleged to have violated a securities law or regulation or there is an inquiry regarding the performance of the person's duties, then that person shall appear before the FSC to explain, or submit to it a written report, within a period set by the FSC.