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Article NO. Content


Regulations Governing Over-the-Counter Trading Enterprises  CH

Announced Date: 2006.06.27 
Article 29     No director, supervisor, managerial officer, or employee of an OTC trading enterprise may do any of the following acts:
  1. Directly or indirectly engage in securities trading or financial product transactions using knowledge gained in the performance of duties.
  2. Divulge any secret learned in the performance of duties.
  3. Solicit, agree to accept, or accept any improper benefit for an action performed in the course of duties or in breach of duties.
  4. Fail to recuse oneself when performance of duties involves any interest of one's own.
  5. Commit any misrepresentation, fraud, nondisclosure, omission, or other misleading conduct in the conduct of OTC trading of securities or other financial products.
  6. Violate any law or regulation or the Competent Authority's requirements by commission or omission.
    The provisions of paragraph 1 apply mutatis mutandis to the exercise of duties by the representative or designated representative of a director or supervisor that is a juristic person.