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Article NO. Content

Title:

Regulations Governing Securities Firms  CH

Amended Date: 2025.07.18 (Articles 3, 9, 10, 16, 50, 64, 66 amended,English version coming soon)
Current English version amended on 2025.05.08 
Article 35 A securities firm accepting orders to trade securities shall evaluate a customer's investment ability based on the information referred to in the preceding article and transaction conditions. If the evaluation of a customer's credit status shows that the customer's order is beyond his/her investment ability, unless proper security is furnished, the securities firm may refuse the order for trading.