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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 6     Internal auditing at a securities firm shall include a weekly audit of the brokerage trades entered by insiders in their securities firm and the subject of the trades, in order to avoid affecting the rights and interests of other investors and the securities firm.