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Article NO. Content


Operation Directions for the Advance Collection of Funds and Securities by Securities Brokers in Brokerage Trading  CH

Amended Date: 2017.11.15 
Categories: Market Supervision > Regulation of Securities Firms
2     A securities broker accepting an order from a principal to buy securities with altered trading method or securities under disposal may register the trading only if it confirms that the remittance to the securities firm's settlement account for payments of advance collection is in the name of the principal itself as the remitter, provided the principal may make the remittance with the funds in the settlement account of the securities firm.