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Article NO. Content


Directions for Securities Firms Engaging Futures Commission Merchants to Operate Securities Introducing Broker Business  CH

Amended Date: 2014.10.29 
Categories: Market Supervision > Regulation of Securities Firms
1     Futures commission merchants engaged by securities firms to operate securities introducing broker business (hereinafter the "Securities Introducing Broker") shall comply with these Directions in their operation of the businesses under Article 3 of the Regulations Governing the Operation of Securities Introducing Broker Business by Securities Firms (hereinafter the "Regulations") shall comply with these Directions.