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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 38     A securities firm using funds from the cash management account to invest in beneficial certificate units shall obtain written consent from customers for matters that are required by law or regulation to be approved by the beneficial owners or unitholders of the fund but that exceed the scope of customer authorization stated in the agreement for the business contemplated hereunder.