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Article NO. Content


Establishing Information Security Inspection Mechanisms for Securities Firms  CH

Amended Date: 2020.12.17 (Articles 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13 amended,English version coming soon)
Current English version amended on 2020.02.10 
Categories: Market Supervision > Regulation of Securities Firms
4     Categorization and Control of Assets (CC-14000, semi-annual audit)
  1. Information assets shall be set out in a list; andthe list shall be maintained.
  2. Rules shall be adopted for classification and labeling of information. (This is applicable to securities firmsplacing orders via the Internet, but not applicable to those doing so via telephone or in thetraditionalmanner).