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Article NO. Content

Title：

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 Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese
Article 4     A securities firm shall disclose in its research reports if it has in the past year served as the lead or a co-underwriter for the issuer of any securities recommended, or has in the past year issued call (or put) warrants for any securities recommended by it.

Interpretation：