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Article NO. Content


Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants  CH

Amended Date: 2014.05.29 
Article 13     A futures commission merchant applying to operate securities introducing broker business shall apply to the competent authority for permission by filling out and submitting an application form together with the following documents:
  1. A business plan specifying the principles of the securities introducing broker business, internal organization and segregation of duties, personnel recruitment and training plans, and the condition of the site and facilities.
  2. Minutes of the relevant board of directors meeting showing the resolution to operate securities introducing broker business.
  3. The mandate contract entered into with the mandating securities firm.
  4. Its financial report for the latest fiscal period, audited and attested (or reviewed) by a certified public accountant.
  5. Documentation of compliance with paragraph 1, subparagraph 5 of the preceding article.
  6. A case checklist.
  7. A written declaration that the application form and attached documents contain no misrepresentation or nondisclosure.