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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 39     A securities firm shall in its internal control system specify matters relating to the method for preserving trade confirmation statements, reconciliation statements, notices issued by fund companies, and any other relevant vouchers, records, and documents in relation to its investment in beneficial certificate units, and shall regularly check the balance of beneficial units in funds whose trading involves the use of funds from the cash management account against the number of beneficial units on hand, and prepare and maintain written verification records accordingly