• Font Size:
  • S
  • M
  • L
友善列印
WORD

Article NO. Content

Title:

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 9-1     If a securities firm does not meet the requirements under paragraph 1 of the preceding article before the 11 October 2010 amendment to these Regulations enters into force, it shall make the adjustments within 6 months after the date the amendment enters into force, and if it does not meet the requirements under paragraph 5 of the preceding article, it shall make the adjustments within 1 year after the date the amendment enters into force.