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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 34     A securities firm accepting orders to trade securities shall establish the following information on its customers:
  1. Name, domicile, and mailing address;
  2. Occupation and age;
  3. Assets status;
  4. Investment experience;
  5. Reason of opening account; and
  6. Other necessary information.
    A securities firm shall keep confidential the information referred to in the preceding paragraph unless being inquired according to law.