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Article NO. Content


Rules Governing the Particulars to be Recorded in the Contract for Recommendations by Securities Firms to Customers for Securities Trading  CH

Amended Date: 2016.05.26 
Categories: Market Supervision > Regulation of Securities Firms
2     Before signing a recommendation contract with the customer, the securities firm shall first appoint a responsible associated person to explain to the customer the potential risks of securities trading andprovide a period of three days or more for the customer to review the content of all of the terms of the recommendation contract.