• Font Size:
  • S
  • M
  • L
友善列印
WORD

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 6     A securities firm shall install internal auditors to regularly or from time to time examine the company's finance and business and prepare audit reports and keep them available for audit.
    The audit reports referred to in the preceding paragraph shall include comments on the compliance of the company's finance and business with relevant laws and regulations and the internal control system of the company.