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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 7     The brokerage contract that the securities introducing broker enters into with a securities investor on behalf of a mandating securities firm shall expressly stipulate that the securities introducing broker is jointly and severally liable with the mandating securities firm for damages arising out of its execution of any business listed under the subparagraphs of Article 3 of these Regulations.