• Font Size：
  • S
  • M
  • L

Article NO. Content

Title：

Regulations Governing Insiders of Securities Firms Opening Accounts at Their Securities Firms for Securities Brokerage Trading  CH

Amended Date： 2015.07.09 
Categories： Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Amended Article Legislative History Chinese
Article 4     An insider of a securities firm with knowledge that the underwriting division is selling stock obtained through firm commitment underwriting or with knowledge of the trading division's intent to trade a particular type of stock may not request trades in the same type of stock prior to the sale or the trade by the respective division.