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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 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.