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Article NO. Content


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 35     A securities firm shall in its internal control system specify the preservation method for the trade confirmation statements, delivery statements, and payment and settlement statements with respect to subject instruments, and for the relevant passbooks and certificates, and shall regularly check the relevant passbooks or certificates thus held against the information on any outstanding balance of subject instruments, and also prepare and maintain written verification records accordingly.