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Article NO. Content


Regulations Governing Custody and Investment of Funds by Securities Firms on Behalf of Customers  CH

Amended Date: 2015.01.21 
Article 12     When a securities firm keeps custody of and invests funds on behalf of customers and a customer requires funds for settlement payments, the securities firm shall dispose the relevant investment instruments in accordance with the order of priority stipulated with the customer, transfer the settlement price into the securities firm's cash management account, and make the settlement for the customers.