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Article NO. Content

Title：

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

Amended Date： 2014.05.29 
Article Content Chapter Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 3     Securities introducing brokers accept mandates from securities firms to engage in the following types of business:
  1. Soliciting securities trading business from securities investors.
  2. Acting on a securities firm's behalf to open accounts for securities investors.
  3. Accepting securities trading orders from securities investors and delivering the orders to a securities firm for execution.
  4. Acting on a securities firm's behalf to notify securities investors to settle securities transactions.
  5. Other related business approved by the competent authority.

Interpretation：