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Article NO. Content

Title:

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

Amended Date: 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.