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Article NO. Content

Title:

Regulations Governing Securities Firms  CH

Amended Date: 2024.03.06 (Articles 37 amended,English version coming soon)
Current English version amended on 2022.09.01 
Article 31-4     A securities firm trading foreign securities for its own account or engaging in foreign derivative financial product transactions, and whose regulatory capital adequacy ratio is lower than the requirement set by the FSC for 3 consecutive months, may only sell or close out its existing positions, and may not engage in any further trading or transactions, unless its regulatory capital adequacy ratio has already been corrected.