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Article NO. Content


Regulations Governing the Establishment of Internal Control Systems by Service Enterprises in Securities and Futures Markets  CH

Amended Date: 2021.09.30 (Articles 36-2 amended,English version coming soon)
Current English version amended on 2019.03.15 
Article 1     These Regulations are adopted pursuant to Article 14-1, paragraph 2 of the Securities and Exchange Act, Article 97-1, paragraph 2 of the Futures Trading Act, and Article 93 of the Securities Investment Trust and Consulting Act.