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Article NO. Content

Title：

Regulations Governing Responsible Persons and Associated Persons of Securities Firms  CH

Amended Date： 2024.03.06 
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.