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Article NO. Content

Title：

Operating Rules for Custody and Investment of Funds by Securities Firms on Behalf of Customers  CH

Amended Date： 2015.03.31 
Categories： Securities Exchange Market > Borrowing of Money
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 25     A securities firm using funds from the cash management account to engage in outright transactions shall do so in compliance with the following:
  1. 1. It may not invest in any negotiable certificate of deposit or commercial paper issued by the securities firm itself or by a company that is an interested party of the securities firm.
  2. 2. The total amount of its investment in negotiable certificates of deposit or commercial papers issued by one single company may not exceed 10% of the total amount of invested funds.
  3. 3. The total amount of its investment in negotiable certificates of deposit or commercial papers guaranteed or endorsed by any bank or bills finance company may not exceed 10% of the total amount of invested funds.