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Article NO. Content


Regulations Governing Securities Dealers Associations  CH

Amended Date: 2010.01.06 
Article 11     A securities dealers association shall, within three months from the end of each fiscal year, file with the FSC an annual work report, as well as an income/disbursement statement, a cash disbursement statement, a balance sheet, a list of assets, and a fund receipt/disbursement statement; which latter five items shall have been audited and attested by a certified public accountant, approved by the board of directors, and recognized by the board of supervisors.