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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 5     "Custody," as used in these Regulations, means that a securities firm, pursuant to an agreement with the customer, keeps custody of the customer's funds in a cash management account for a period not to exceed ten business days.
    "Investment," as used in these Regulations, means that when the same investment instrument is stipulated in agreements between the securities firm and customers, the securities firm collects the funds kept under custody in the cash management account and makes the investment under the name of the securities firm.