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Article NO. Content


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 5     Account opening due diligence and risk control operations for margin trading by insiders at their own securities firms shall be prescribed in the internal control system of the securities firm.
    When quotas are allocated for margin purchases and shorts sales of any given securities by insiders at securities firms who are engaging in margin trading in their own securities firm, the insiders may only settle their margin purchase or short sale transaction for the given securities and may not place any further order for a margin purchase or short sale for the given securities.