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Article NO. Content

Title:

Rules Governing the Proprietary Trading of Foreign Bonds by Securities Firms  CH

Amended Date: 2020.09.15 (Articles 1, 4, 5-1, 6, 6-1, 6-2, 6-3, 7, 16 amended,English version coming soon)
Current English version amended on 2018.11.12 
Article 18     If any employee of the securities firm is found to be in violation of these Rules, the TPEx may directly notify the securities firm to give a warning to the employee, or suspend the employee's execution of business for from 1 month to 6 months, depending on the seriousness of the circumstances.