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Article NO. Content

Title:

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

Amended Date: 2015.01.21 
Article 8     A securities firm shall adopt an effective internal control system for the custody and investment of funds on behalf of customers.
    The internal control system of the preceding paragraph shall specify operating procedures, segregation of powers and duties, and account management for the business of custody and investment of funds on behalf of customers, and shall prescribe a related risk management system.