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Article NO. Content


Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers  CH

Amended Date: 2017.11.22 
Categories: Market Supervision > Regulation of Securities Firms
Article 3     A securities firm shall not do any of the following when recommending trades in securities to customers:
  1. Cite any information that contains any untruth, falsehood, concealment, or is otherwise sufficient to cause mistaken confidence on the part of others.
  2. Guarantee specific results regarding any recommended securities.
  3. Fail to clearly inform or indicate that the information provided is a forecast.
  4. Fail to base recommendations on research reports
  5. Recommend customers trade in securities placed under altered trading method by this Corporation
  6. Use results of past recommendations in promoting its recommendation business.
  7. Use non-public information obtained through its own trading or underwriting.