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Article NO. Content

Title:

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

Amended Date: 2022.06.08 (Articles 4, 6-4, 7, 11, 15 amended,English version coming soon)
Current English version amended on 2020.09.15 
Article 6-2     To trade a foreign currency denominated structured bond with high-asset customers, a securities firm shall agree with or obtain written confirmation from the domestic agent on the following matters:
  1. During the term of the product, in addition to providing product information and marketing materials in English, relevant product information, such as the product's material characteristics, risk profile, and reference prices, shall also be provided in Chinese to investors needing to receive such information in Chinese.
  2. Upon occurrence of an investment dispute involving any liability of the issuer or guarantor, the domestic agent shall assist the securities firm in handling relevant matters and act as the agent for service of process and all other document correspondence with respect to the investment dispute.
  3. Upon occurrence of an event materially affecting the rights and interests of investors, the domestic agent shall produce a plan to address the issue and shall report the plan to the securities firm within 3 days from the occurrence of the event for forwarding to all relevant high-asset customers.