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Article NO. Content


Operation Directions for Inquiries of Customer Data by Employees of Securities Firms  CH

Announced Date: 2011.06.24 
Categories: Market Supervision > Regulation of Securities Firms
4     Where a securities firm files, transmits and prints customer data, detailed records of the names and positions of the operators shall be kept and managed by designated personnel.
    Any change, deletion and usage of the above filed data shall also be recorded.