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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 4     A securities introducing broker that solicits securities trading business shall do so in the name of the mandating securities firm, and may not make misrepresentations, exaggerations, biased representations, fraudulent statements, or engage in other misleading conduct, and shall be subject, mutatis mutandis, to Article 5 of the Regulations Governing Securities Firms.