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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 7     Internal auditing at a securities firm shall include a monthly audit of the evidentiary documents relating to brokerage trades by insiders in their securities firm.
    Securities firms shall place evidentiary documents relating to trades by insiders in their securities firm in custody separately from those of other principals in order to make them available for auditing by the competent authorities.