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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 3     The term "service enterprise" as used in these Regulations includes securities exchanges, over-the-counter securities markets, futures exchanges, central securities depositories, securities firms, futures enterprises, securities finance enterprises, securities investment trust enterprise, securities investment consulting enterprises operating discretionary investment services for customers (hereinafter, “securities investment consulting enterprise”), credit rating agencies, and any other service enterprises in the securities or futures market designated by the competent authority.