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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
3     The engaged securities broker shall prepare detailed schedules (Attachments 1 and 2) on the receipts and payment of the funds and securities collected in advance under Article 1, on a daily basis, to be made available for review.