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Article NO. Content


Regulations Governing Over-the-Counter Trading Enterprises  CH

Announced Date: 2006.06.27 
Article 2     The term over-the-counter trading ("OTC trading") as used in these Regulations means trading at securities firms' places of business, or transaction on a platform established by an OTC trading enterprise, of securities and other financial products.
    The term over-the-counter trading enterprise ("OTC trading enterprise") in these Regulations means an enterprise that establishes a venue and equipment for purposes of trading or transaction referred to in the preceding paragraph of securities and other financial products, and that regulates matters relating to the OTC trading of those products.